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Data Structures and
Algorithms in Python
Michael T. Goodrich
Department of Computer Science
University of California, Irvine
Roberto Tamassia
Department of Computer Science
Brown University
Michael H. Goldwasser
Department of Mathematics and Computer Science
Saint Louis University
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Printed in the United States of America
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To Karen, Paul, Anna, and Jack
– Michael T. Goodrich
To Isabel
– Roberto Tamassia
To Susan, Calista, and Maya
– Michael H. Goldwasser
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Preface
The design and analysis of efficient data structures has long been recognized as a
vital subject in computing and is part of the core curriculum of computer science
and computer engineering undergraduate degrees. Data Structures and Algorithms
in Python provides an introduction to data structures and algorithms, including their
design, analysis, and implementation. This book is designed for use in a beginninglevel data structures course, or in an intermediate-level introduction to algorithms
course. We discuss its use for such courses in more detail later in this preface.
To promote the development of robust and reusable software, we have tried to
take a consistent object-oriented viewpoint throughout this text. One of the main
ideas of the object-oriented approach is that data should be presented as being encapsulated with the methods that access and modify them. That is, rather than
simply viewing data as a collection of bytes and addresses, we think of data objects as instances of an abstract data type (ADT), which includes a repertoire of
methods for performing operations on data objects of this type. We then emphasize that there may be several different implementation strategies for a particular
ADT, and explore the relative pros and cons of these choices. We provide complete
Python implementations for almost all data structures and algorithms discussed,
and we introduce important object-oriented design patterns as means to organize
those implementations into reusable components.
Desired outcomes for readers of our book include that:
• They have knowledge of the most common abstractions for data collections
(e.g., stacks, queues, lists, trees, maps).
• They understand algorithmic strategies for producing efficient realizations of
common data structures.
• They can analyze algorithmic performance, both theoretically and experimentally, and recognize common trade-offs between competing strategies.
• They can wisely use existing data structures and algorithms found in modern
programming language libraries.
• They have experience working with concrete implementations for most foundational data structures and algorithms.
• They can apply data structures and algorithms to solve complex problems.
In support of the last goal, we present many example applications of data structures
throughout the book, including the processing of file systems, matching of tags
in structured formats such as HTML, simple cryptography, text frequency analysis, automated geometric layout, Huffman coding, DNA sequence alignment, and
search engine indexing.
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Preface
vi
Book Features
This book is based upon the book Data Structures and Algorithms in Java by
Goodrich and Tamassia, and the related Data Structures and Algorithms in C++
by Goodrich, Tamassia, and Mount. However, this book is not simply a translation
of those other books to Python. In adapting the material for this book, we have
significantly redesigned the organization and content of the book as follows:
• The code base has been entirely redesigned to take advantage of the features
of Python, such as use of generators for iterating elements of a collection.
• Many algorithms that were presented as pseudo-code in the Java and C++
versions are directly presented as complete Python code.
• In general, ADTs are defined to have consistent interface with Python’s builtin data types and those in Python’s collections module.
• Chapter 5 provides an in-depth exploration of the dynamic array-based underpinnings of Python’s built-in list, tuple, and str classes. New Appendix A
serves as an additional reference regarding the functionality of the str class.
• Over 450 illustrations have been created or revised.
• New and revised exercises bring the overall total number to 750.
Online Resources
This book is accompanied by an extensive set of online resources, which can be
found at the following Web site:
www.wiley.com/college/goodrich
Students are encouraged to use this site along with the book, to help with exercises and increase understanding of the subject. Instructors are likewise welcome
to use the site to help plan, organize, and present their course materials. Included
on this Web site is a collection of educational aids that augment the topics of this
book, for both students and instructors. Because of their added value, some of these
online resources are password protected.
For all readers, and especially for students, we include the following resources:
• All the Python source code presented in this book.
• PDF handouts of Powerpoint slides (four-per-page) provided to instructors.
• A database of hints to all exercises, indexed by problem number.
For instructors using this book, we include the following additional teaching aids:
• Solutions to hundreds of the book’s exercises.
• Color versions of all figures and illustrations from the book.
• Slides in Powerpoint and PDF (one-per-page) format.
The slides are fully editable, so as to allow an instructor using this book full freedom in customizing his or her presentations. All the online resources are provided
at no extra charge to any instructor adopting this book for his or her course.
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Preface
vii
Contents and Organization
The chapters for this book are organized to provide a pedagogical path that starts
with the basics of Python programming and object-oriented design. We then add
foundational techniques like algorithm analysis and recursion. In the main portion
of the book, we present fundamental data structures and algorithms, concluding
with a discussion of memory management (that is, the architectural underpinnings
of data structures). Specifically, the chapters for this book are organized as follows:
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
13.
14.
15.
A.
B.
Python Primer
Object-Oriented Programming
Algorithm Analysis
Recursion
Array-Based Sequences
Stacks, Queues, and Deques
Linked Lists
Trees
Priority Queues
Maps, Hash Tables, and Skip Lists
Search Trees
Sorting and Selection
Text Processing
Graph Algorithms
Memory Management and B-Trees
Character Strings in Python
Useful Mathematical Facts
A more detailed table of contents follows this preface, beginning on page xi.
Prerequisites
We assume that the reader is at least vaguely familiar with a high-level programming language, such as C, C++, Python, or Java, and that he or she understands the
main constructs from such a high-level language, including:
• Variables and expressions.
• Decision structures (such as if-statements and switch-statements).
• Iteration structures (for loops and while loops).
• Functions (whether stand-alone or object-oriented methods).
For readers who are familiar with these concepts, but not with how they are expressed in Python, we provide a primer on the Python language in Chapter 1. Still,
this book is primarily a data structures book, not a Python book; hence, it does not
give a comprehensive treatment of Python.
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Preface
viii
We delay treatment of object-oriented programming in Python until Chapter 2.
This chapter is useful for those new to Python, and for those who may be familiar
with Python, yet not with object-oriented programming.
In terms of mathematical background, we assume the reader is somewhat familiar with topics from high-school mathematics. Even so, in Chapter 3, we discuss
the seven most-important functions for algorithm analysis. In fact, sections that use
something other than one of these seven functions are considered optional, and are
indicated with a star (). We give a summary of other useful mathematical facts,
including elementary probability, in Appendix B.
Relation to Computer Science Curriculum
To assist instructors in designing a course in the context of the IEEE/ACM 2013
Computing Curriculum, the following table describes curricular knowledge units
that are covered within this book.
Knowledge Unit
AL/Basic Analysis
AL/Algorithmic Strategies
AL/Fundamental Data Structures
and Algorithms
AL/Advanced Data Structures
AR/Memory System Organization
and Architecture
DS/Sets, Relations and Functions
DS/Proof Techniques
DS/Basics of Counting
DS/Graphs and Trees
DS/Discrete Probability
PL/Object-Oriented Programming
PL/Functional Programming
SDF/Algorithms and Design
SDF/Fundamental Programming
Concepts
SDF/Fundamental Data Structures
SDF/Developmental Methods
SE/Software Design
Relevant Material
Chapter 3 and Sections 4.2 & 12.2.4
Sections 12.2.1, 13.2.1, 13.3, & 13.4.2
Sections 4.1.3, 5.5.2, 9.4.1, 9.3, 10.2, 11.1, 13.2,
Chapter 12 & much of Chapter 14
Sections 5.3, 10.4, 11.2 through 11.6, 12.3.1,
13.5, 14.5.1, & 15.3
Chapter 15
Sections 10.5.1, 10.5.2, & 9.4
Sections 3.4, 4.2, 5.3.2, 9.3.6, & 12.4.1
Sections 2.4.2, 6.2.2, 12.2.4, 8.2.2 & Appendix B
Much of Chapters 8 and 14
Sections 1.11.1, 10.2, 10.4.2, & 12.3.1
Much of the book, yet especially Chapter 2 and
Sections 7.4, 9.5.1, 10.1.3, & 11.2.1
Section 1.10
Sections 2.1, 3.3, & 12.2.1
Chapters 1 & 4
Chapters 6 & 7, Appendix A, and Sections 1.2.1,
5.2, 5.4, 9.1, & 10.1
Sections 1.7 & 2.2
Sections 2.1 & 2.1.3
Mapping IEEE/ACM 2013 Computing Curriculum knowledge units to coverage in
this book.
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Preface
ix
About the Authors
Michael Goodrich received his Ph.D. in Computer Science from Purdue University
in 1987. He is currently a Chancellor’s Professor in the Department of Computer
Science at University of California, Irvine. Previously, he was a professor at Johns
Hopkins University. He is a Fulbright Scholar and a Fellow of the American Association for the Advancement of Science (AAAS), Association for Computing
Machinery (ACM), and Institute of Electrical and Electronics Engineers (IEEE).
He is a recipient of the IEEE Computer Society Technical Achievement Award,
the ACM Recognition of Service Award, and the Pond Award for Excellence in
Undergraduate Teaching.
Roberto Tamassia received his Ph.D. in Electrical and Computer Engineering
from the University of Illinois at Urbana-Champaign in 1988. He is the Plastech
Professor of Computer Science and the Chair of the Department of Computer Science at Brown University. He is also the Director of Brown’s Center for Geometric
Computing. His research interests include information security, cryptography, analysis, design, and implementation of algorithms, graph drawing and computational
geometry. He is a Fellow of the American Association for the Advancement of
Science (AAAS), Association for Computing Machinery (ACM) and Institute for
Electrical and Electronic Engineers (IEEE). He is also a recipient of the Technical
Achievement Award from the IEEE Computer Society.
Michael Goldwasser received his Ph.D. in Computer Science from Stanford
University in 1997. He is currently a Professor in the Department of Mathematics
and Computer Science at Saint Louis University and the Director of their Computer Science program. Previously, he was a faculty member in the Department
of Computer Science at Loyola University Chicago. His research interests focus
on the design and implementation of algorithms, having published work involving
approximation algorithms, online computation, computational biology, and computational geometry. He is also active in the computer science education community.
Additional Books by These Authors
• M.T. Goodrich and R. Tamassia, Data Structures and Algorithms in Java, Wiley.
• M.T. Goodrich, R. Tamassia, and D.M. Mount, Data Structures and Algorithms
in C++, Wiley.
• M.T. Goodrich and R. Tamassia, Algorithm Design: Foundations, Analysis, and
Internet Examples, Wiley.
• M.T. Goodrich and R. Tamassia, Introduction to Computer Security, AddisonWesley.
• M.H. Goldwasser and D. Letscher, Object-Oriented Programming in Python,
Prentice Hall.
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Preface
x
Acknowledgments
We have depended greatly upon the contributions of many individuals as part of
the development of this book. We begin by acknowledging the wonderful team at
Wiley. We are grateful to our editor, Beth Golub, for her enthusiastic support of
this project, from beginning to end. The efforts of Elizabeth Mills and Katherine
Willis were critical in keeping the project moving, from its early stages as an initial
proposal, through the extensive peer review process. We greatly appreciate the
attention to detail demonstrated by Julie Kennedy, the copyeditor for this book.
Finally, many thanks are due to Joyce Poh for managing the final months of the
production process.
We are truly indebted to the outside reviewers and readers for their copious
comments, emails, and constructive criticism, which were extremely useful in writing this edition. We therefore thank the following reviewers for their comments and
suggestions: Claude Anderson (Rose Hulman Institute of Technology), Alistair
Campbell (Hamilton College), Barry Cohen (New Jersey Institute of Technology),
Robert Franks (Central College), Andrew Harrington (Loyola University Chicago),
Dave Musicant (Carleton College), and Victor Norman (Calvin College). We wish
to particularly acknowledge Claude for going above and beyond the call of duty,
providing us with an enumeration of 400 detailed corrections or suggestions.
We thank David Mount, of University of Maryland, for graciously sharing the
wisdom gained from his experience with the C++ version of this text. We are grateful to Erin Chambers and David Letscher, of Saint Louis University, for their intangible contributions during many hallway conversations about the teaching of data
structures, and to David for comments on early versions of the Python code base for
this book. We thank David Zampino, a student at Loyola University Chicago, for
his feedback while using a draft of this book during an independent study course,
and to Andrew Harrington for supervising David’s studies.
We also wish to reiterate our thanks to the many research collaborators and
teaching assistants whose feedback shaped the previous Java and C++ versions of
this material. The benefits of those contributions carry forward to this book.
Finally, we would like to warmly thank Susan Goldwasser, Isabel Cruz, Karen
Goodrich, Giuseppe Di Battista, Franco Preparata, Ioannis Tollis, and our parents
for providing advice, encouragement, and support at various stages of the preparation of this book, and Calista and Maya Goldwasser for offering their advice
regarding the artistic merits of many illustrations. More importantly, we thank all
of these people for reminding us that there are things in life beyond writing books.
Michael T. Goodrich
Roberto Tamassia
Michael H. Goldwasser
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Contents
Preface . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1 Python Primer
1.1 Python Overview . . . . . . . . . . . . . . . . . . . . . .
1.1.1 The Python Interpreter . . . . . . . . . . . . . . .
1.1.2 Preview of a Python Program . . . . . . . . . . .
1.2 Objects in Python . . . . . . . . . . . . . . . . . . . . .
1.2.1 Identifiers, Objects, and the Assignment Statement
1.2.2 Creating and Using Objects . . . . . . . . . . . . .
1.2.3 Python’s Built-In Classes . . . . . . . . . . . . . .
1.3 Expressions, Operators, and Precedence . . . . . . . .
1.3.1 Compound Expressions and Operator Precedence .
1.4 Control Flow . . . . . . . . . . . . . . . . . . . . . . . .
1.4.1 Conditionals . . . . . . . . . . . . . . . . . . . . .
1.4.2 Loops . . . . . . . . . . . . . . . . . . . . . . . .
1.5 Functions . . . . . . . . . . . . . . . . . . . . . . . . . .
1.5.1 Information Passing . . . . . . . . . . . . . . . . .
1.5.2 Python’s Built-In Functions . . . . . . . . . . . . .
1.6 Simple Input and Output . . . . . . . . . . . . . . . . .
1.6.1 Console Input and Output . . . . . . . . . . . . .
1.6.2 Files . . . . . . . . . . . . . . . . . . . . . . . . .
1.7 Exception Handling . . . . . . . . . . . . . . . . . . . .
1.7.1 Raising an Exception . . . . . . . . . . . . . . . .
1.7.2 Catching an Exception . . . . . . . . . . . . . . .
1.8 Iterators and Generators . . . . . . . . . . . . . . . . .
1.9 Additional Python Conveniences . . . . . . . . . . . . .
1.9.1 Conditional Expressions . . . . . . . . . . . . . . .
1.9.2 Comprehension Syntax . . . . . . . . . . . . . . .
1.9.3 Packing and Unpacking of Sequences . . . . . . .
1.10 Scopes and Namespaces . . . . . . . . . . . . . . . . .
1.11 Modules and the Import Statement . . . . . . . . . . .
1.11.1 Existing Modules . . . . . . . . . . . . . . . . . .
1.12 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . .
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Contents
xii
2 Object-Oriented Programming
2.1 Goals, Principles, and Patterns . . . . . . . . . . . . . .
2.1.1 Object-Oriented Design Goals . . . . . . . . . . . .
2.1.2 Object-Oriented Design Principles . . . . . . . . . .
2.1.3 Design Patterns . . . . . . . . . . . . . . . . . . . .
2.2 Software Development . . . . . . . . . . . . . . . . . . .
2.2.1 Design . . . . . . . . . . . . . . . . . . . . . . . . .
2.2.2 Pseudo-Code . . . . . . . . . . . . . . . . . . . . .
2.2.3 Coding Style and Documentation . . . . . . . . . . .
2.2.4 Testing and Debugging . . . . . . . . . . . . . . . .
2.3 Class Definitions . . . . . . . . . . . . . . . . . . . . . . .
2.3.1 Example: CreditCard Class . . . . . . . . . . . . . .
2.3.2 Operator Overloading and Python’s Special Methods
2.3.3 Example: Multidimensional Vector Class . . . . . . .
2.3.4 Iterators . . . . . . . . . . . . . . . . . . . . . . . .
2.3.5 Example: Range Class . . . . . . . . . . . . . . . . .
2.4 Inheritance . . . . . . . . . . . . . . . . . . . . . . . . . .
2.4.1 Extending the CreditCard Class . . . . . . . . . . . .
2.4.2 Hierarchy of Numeric Progressions . . . . . . . . . .
2.4.3 Abstract Base Classes . . . . . . . . . . . . . . . . .
2.5 Namespaces and Object-Orientation . . . . . . . . . . .
2.5.1 Instance and Class Namespaces . . . . . . . . . . . .
2.5.2 Name Resolution and Dynamic Dispatch . . . . . . .
2.6 Shallow and Deep Copying . . . . . . . . . . . . . . . . .
2.7 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . .
3 Algorithm Analysis
3.1 Experimental Studies . . . . . . . . . . . .
3.1.1 Moving Beyond Experimental Analysis
3.2 The Seven Functions Used in This Book .
3.2.1 Comparing Growth Rates . . . . . . .
3.3 Asymptotic Analysis . . . . . . . . . . . . .
3.3.1 The “Big-Oh” Notation . . . . . . . .
3.3.2 Comparative Analysis . . . . . . . . .
3.3.3 Examples of Algorithm Analysis . . .
3.4 Simple Justification Techniques . . . . . .
3.4.1 By Example . . . . . . . . . . . . . .
3.4.2 The “Contra” Attack . . . . . . . . .
3.4.3 Induction and Loop Invariants . . . .
3.5 Exercises . . . . . . . . . . . . . . . . . . .
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Contents
xiii
4 Recursion
4.1 Illustrative Examples . . . . . . . . . . . .
4.1.1 The Factorial Function . . . . . . . .
4.1.2 Drawing an English Ruler . . . . . . .
4.1.3 Binary Search . . . . . . . . . . . . .
4.1.4 File Systems . . . . . . . . . . . . . .
4.2 Analyzing Recursive Algorithms . . . . . .
4.3 Recursion Run Amok . . . . . . . . . . . .
4.3.1 Maximum Recursive Depth in Python
4.4 Further Examples of Recursion . . . . . . .
4.4.1 Linear Recursion . . . . . . . . . . . .
4.4.2 Binary Recursion . . . . . . . . . . .
4.4.3 Multiple Recursion . . . . . . . . . .
4.5 Designing Recursive Algorithms . . . . . .
4.6 Eliminating Tail Recursion . . . . . . . . .
4.7 Exercises . . . . . . . . . . . . . . . . . . .
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5 Array-Based Sequences
5.1 Python’s Sequence Types . . . . . . . . . .
5.2 Low-Level Arrays . . . . . . . . . . . . . . .
5.2.1 Referential Arrays . . . . . . . . . . .
5.2.2 Compact Arrays in Python . . . . . .
5.3 Dynamic Arrays and Amortization . . . . .
5.3.1 Implementing a Dynamic Array . . . .
5.3.2 Amortized Analysis of Dynamic Arrays
5.3.3 Python’s List Class . . . . . . . . . .
5.4 Efficiency of Python’s Sequence Types . .
5.4.1 Python’s List and Tuple Classes . . .
5.4.2 Python’s String Class . . . . . . . . .
5.5 Using Array-Based Sequences . . . . . . .
5.5.1 Storing High Scores for a Game . . .
5.5.2 Sorting a Sequence . . . . . . . . . .
5.5.3 Simple Cryptography . . . . . . . . .
5.6 Multidimensional Data Sets . . . . . . . .
5.7 Exercises . . . . . . . . . . . . . . . . . . .
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6 Stacks, Queues, and Deques
6.1 Stacks . . . . . . . . . . . . . . . . . . . . . . .
6.1.1 The Stack Abstract Data Type . . . . . .
6.1.2 Simple Array-Based Stack Implementation
6.1.3 Reversing Data Using a Stack . . . . . .
6.1.4 Matching Parentheses and HTML Tags .
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Contents
xiv
6.2 Queues . . . . . . . . . . . . . . . . . . . . . . .
6.2.1 The Queue Abstract Data Type . . . . . .
6.2.2 Array-Based Queue Implementation . . . .
6.3 Double-Ended Queues . . . . . . . . . . . . . . .
6.3.1 The Deque Abstract Data Type . . . . . .
6.3.2 Implementing a Deque with a Circular Array
6.3.3 Deques in the Python Collections Module .
6.4 Exercises . . . . . . . . . . . . . . . . . . . . . .
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7 Linked Lists
7.1 Singly Linked Lists . . . . . . . . . . . . . . . . . . . . .
7.1.1 Implementing a Stack with a Singly Linked List . .
7.1.2 Implementing a Queue with a Singly Linked List . .
7.2 Circularly Linked Lists . . . . . . . . . . . . . . . . . . .
7.2.1 Round-Robin Schedulers . . . . . . . . . . . . . .
7.2.2 Implementing a Queue with a Circularly Linked List
7.3 Doubly Linked Lists . . . . . . . . . . . . . . . . . . . .
7.3.1 Basic Implementation of a Doubly Linked List . . .
7.3.2 Implementing a Deque with a Doubly Linked List .
7.4 The Positional List ADT . . . . . . . . . . . . . . . . .
7.4.1 The Positional List Abstract Data Type . . . . . .
7.4.2 Doubly Linked List Implementation . . . . . . . . .
7.5 Sorting a Positional List . . . . . . . . . . . . . . . . .
7.6 Case Study: Maintaining Access Frequencies . . . . .
7.6.1 Using a Sorted List . . . . . . . . . . . . . . . . .
7.6.2 Using a List with the Move-to-Front Heuristic . . .
7.7 Link-Based vs. Array-Based Sequences . . . . . . . . .
7.8 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . .
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8 Trees
8.1 General Trees . . . . . . . . . . . . . . . . . . . . .
8.1.1 Tree Definitions and Properties . . . . . . . .
8.1.2 The Tree Abstract Data Type . . . . . . . .
8.1.3 Computing Depth and Height . . . . . . . . .
8.2 Binary Trees . . . . . . . . . . . . . . . . . . . . .
8.2.1 The Binary Tree Abstract Data Type . . . . .
8.2.2 Properties of Binary Trees . . . . . . . . . .
8.3 Implementing Trees . . . . . . . . . . . . . . . . .
8.3.1 Linked Structure for Binary Trees . . . . . . .
8.3.2 Array-Based Representation of a Binary Tree
8.3.3 Linked Structure for General Trees . . . . . .
8.4 Tree Traversal Algorithms . . . . . . . . . . . . .
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8.4.1 Preorder and Postorder Traversals of General Trees
8.4.2 Breadth-First Tree Traversal . . . . . . . . . . . .
8.4.3 Inorder Traversal of a Binary Tree . . . . . . . . .
8.4.4 Implementing Tree Traversals in Python . . . . . .
8.4.5 Applications of Tree Traversals . . . . . . . . . . .
8.4.6 Euler Tours and the Template Method Pattern .
8.5 Case Study: An Expression Tree . . . . . . . . . . . . .
8.6 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . .
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9 Priority Queues
9.1 The Priority Queue Abstract Data Type . . . . . . .
9.1.1 Priorities . . . . . . . . . . . . . . . . . . . . . .
9.1.2 The Priority Queue ADT . . . . . . . . . . . . .
9.2 Implementing a Priority Queue . . . . . . . . . . . .
9.2.1 The Composition Design Pattern . . . . . . . . .
9.2.2 Implementation with an Unsorted List . . . . . .
9.2.3 Implementation with a Sorted List . . . . . . . .
9.3 Heaps . . . . . . . . . . . . . . . . . . . . . . . . . . .
9.3.1 The Heap Data Structure . . . . . . . . . . . . .
9.3.2 Implementing a Priority Queue with a Heap . . .
9.3.3 Array-Based Representation of a Complete Binary
9.3.4 Python Heap Implementation . . . . . . . . . . .
9.3.5 Analysis of a Heap-Based Priority Queue . . . . .
9.3.6 Bottom-Up Heap Construction . . . . . . . . .
9.3.7 Python’s heapq Module . . . . . . . . . . . . . .
9.4 Sorting with a Priority Queue . . . . . . . . . . . . .
9.4.1 Selection-Sort and Insertion-Sort . . . . . . . . .
9.4.2 Heap-Sort . . . . . . . . . . . . . . . . . . . . .
9.5 Adaptable Priority Queues . . . . . . . . . . . . . . .
9.5.1 Locators . . . . . . . . . . . . . . . . . . . . . .
9.5.2 Implementing an Adaptable Priority Queue . . .
9.6 Exercises . . . . . . . . . . . . . . . . . . . . . . . . .
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10 Maps, Hash Tables, and Skip Lists
10.1 Maps and Dictionaries . . . . . . . . . . . . . . . .
10.1.1 The Map ADT . . . . . . . . . . . . . . . . .
10.1.2 Application: Counting Word Frequencies . . . .
10.1.3 Python’s MutableMapping Abstract Base Class
10.1.4 Our MapBase Class . . . . . . . . . . . . . . .
10.1.5 Simple Unsorted Map Implementation . . . . .
10.2 Hash Tables . . . . . . . . . . . . . . . . . . . . . .
10.2.1 Hash Functions . . . . . . . . . . . . . . . . .
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Contents
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10.3
10.4
10.5
10.6
10.2.2 Collision-Handling Schemes . . . . . . . . . .
10.2.3 Load Factors, Rehashing, and Efficiency . . .
10.2.4 Python Hash Table Implementation . . . . .
Sorted Maps . . . . . . . . . . . . . . . . . . . . .
10.3.1 Sorted Search Tables . . . . . . . . . . . . .
10.3.2 Two Applications of Sorted Maps . . . . . .
Skip Lists . . . . . . . . . . . . . . . . . . . . . . .
10.4.1 Search and Update Operations in a Skip List
10.4.2 Probabilistic Analysis of Skip Lists . . . . .
Sets, Multisets, and Multimaps . . . . . . . . . .
10.5.1 The Set ADT . . . . . . . . . . . . . . . . .
10.5.2 Python’s MutableSet Abstract Base Class . .
10.5.3 Implementing Sets, Multisets, and Multimaps
Exercises . . . . . . . . . . . . . . . . . . . . . . .
11 Search Trees
11.1 Binary Search Trees . . . . . . . . . . . . . .
11.1.1 Navigating a Binary Search Tree . . . .
11.1.2 Searches . . . . . . . . . . . . . . . . .
11.1.3 Insertions and Deletions . . . . . . . . .
11.1.4 Python Implementation . . . . . . . . .
11.1.5 Performance of a Binary Search Tree . .
11.2 Balanced Search Trees . . . . . . . . . . . .
11.2.1 Python Framework for Balancing Search
11.3 AVL Trees . . . . . . . . . . . . . . . . . . . .
11.3.1 Update Operations . . . . . . . . . . .
11.3.2 Python Implementation . . . . . . . . .
11.4 Splay Trees . . . . . . . . . . . . . . . . . . .
11.4.1 Splaying . . . . . . . . . . . . . . . . .
11.4.2 When to Splay . . . . . . . . . . . . . .
11.4.3 Python Implementation . . . . . . . . .
11.4.4 Amortized Analysis of Splaying . . .
11.5 (2,4) Trees . . . . . . . . . . . . . . . . . . .
11.5.1 Multiway Search Trees . . . . . . . . .
11.5.2 (2,4)-Tree Operations . . . . . . . . . .
11.6 Red-Black Trees . . . . . . . . . . . . . . . .
11.6.1 Red-Black Tree Operations . . . . . . .
11.6.2 Python Implementation . . . . . . . . .
11.7 Exercises . . . . . . . . . . . . . . . . . . . .
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xvii
12 Sorting and Selection
12.1 Why Study Sorting Algorithms? . . . . . . . . . . . .
12.2 Merge-Sort . . . . . . . . . . . . . . . . . . . . . . . .
12.2.1 Divide-and-Conquer . . . . . . . . . . . . . . . .
12.2.2 Array-Based Implementation of Merge-Sort . . .
12.2.3 The Running Time of Merge-Sort . . . . . . . .
12.2.4 Merge-Sort and Recurrence Equations . . . . .
12.2.5 Alternative Implementations of Merge-Sort . . .
12.3 Quick-Sort . . . . . . . . . . . . . . . . . . . . . . . .
12.3.1 Randomized Quick-Sort . . . . . . . . . . . . . .
12.3.2 Additional Optimizations for Quick-Sort . . . . .
12.4 Studying Sorting through an Algorithmic Lens . . .
12.4.1 Lower Bound for Sorting . . . . . . . . . . . . .
12.4.2 Linear-Time Sorting: Bucket-Sort and Radix-Sort
12.5 Comparing Sorting Algorithms . . . . . . . . . . . . .
12.6 Python’s Built-In Sorting Functions . . . . . . . . . .
12.6.1 Sorting According to a Key Function . . . . . . .
12.7 Selection . . . . . . . . . . . . . . . . . . . . . . . . .
12.7.1 Prune-and-Search . . . . . . . . . . . . . . . . .
12.7.2 Randomized Quick-Select . . . . . . . . . . . . .
12.7.3 Analyzing Randomized Quick-Select . . . . . . .
12.8 Exercises . . . . . . . . . . . . . . . . . . . . . . . . .
13 Text Processing
13.1 Abundance of Digitized Text . . . . . . . . .
13.1.1 Notations for Strings and the Python str
13.2 Pattern-Matching Algorithms . . . . . . . .
13.2.1 Brute Force . . . . . . . . . . . . . . .
13.2.2 The Boyer-Moore Algorithm . . . . . .
13.2.3 The Knuth-Morris-Pratt Algorithm . . .
13.3 Dynamic Programming . . . . . . . . . . . .
13.3.1 Matrix Chain-Product . . . . . . . . . .
13.3.2 DNA and Text Sequence Alignment . .
13.4 Text Compression and the Greedy Method
13.4.1 The Huffman Coding Algorithm . . . .
13.4.2 The Greedy Method . . . . . . . . . . .
13.5 Tries . . . . . . . . . . . . . . . . . . . . . . .
13.5.1 Standard Tries . . . . . . . . . . . . . .
13.5.2 Compressed Tries . . . . . . . . . . . .
13.5.3 Suffix Tries . . . . . . . . . . . . . . .
13.5.4 Search Engine Indexing . . . . . . . . .
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xviii
13.6 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 613
14 Graph Algorithms
14.1 Graphs . . . . . . . . . . . . . . . . . . . . . . . . .
14.1.1 The Graph ADT . . . . . . . . . . . . . . . .
14.2 Data Structures for Graphs . . . . . . . . . . . . .
14.2.1 Edge List Structure . . . . . . . . . . . . . .
14.2.2 Adjacency List Structure . . . . . . . . . . .
14.2.3 Adjacency Map Structure . . . . . . . . . . .
14.2.4 Adjacency Matrix Structure . . . . . . . . . .
14.2.5 Python Implementation . . . . . . . . . . . .
14.3 Graph Traversals . . . . . . . . . . . . . . . . . . .
14.3.1 Depth-First Search . . . . . . . . . . . . . .
14.3.2 DFS Implementation and Extensions . . . . .
14.3.3 Breadth-First Search . . . . . . . . . . . . .
14.4 Transitive Closure . . . . . . . . . . . . . . . . . .
14.5 Directed Acyclic Graphs . . . . . . . . . . . . . .
14.5.1 Topological Ordering . . . . . . . . . . . . .
14.6 Shortest Paths . . . . . . . . . . . . . . . . . . . .
14.6.1 Weighted Graphs . . . . . . . . . . . . . . .
14.6.2 Dijkstra’s Algorithm . . . . . . . . . . . . . .
14.7 Minimum Spanning Trees . . . . . . . . . . . . . .
14.7.1 Prim-Jarnı́k Algorithm . . . . . . . . . . . .
14.7.2 Kruskal’s Algorithm . . . . . . . . . . . . . .
14.7.3 Disjoint Partitions and Union-Find Structures
14.8 Exercises . . . . . . . . . . . . . . . . . . . . . . .
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15 Memory Management and B-Trees
15.1 Memory Management . . . . . . . . . . . . . . . . . . .
15.1.1 Memory Allocation . . . . . . . . . . . . . . . . .
15.1.2 Garbage Collection . . . . . . . . . . . . . . . . .
15.1.3 Additional Memory Used by the Python Interpreter
15.2 Memory Hierarchies and Caching . . . . . . . . . . . .
15.2.1 Memory Systems . . . . . . . . . . . . . . . . . .
15.2.2 Caching Strategies . . . . . . . . . . . . . . . . .
15.3 External Searching and B-Trees . . . . . . . . . . . . .
15.3.1 (a,b) Trees . . . . . . . . . . . . . . . . . . . . . .
15.3.2 B-Trees . . . . . . . . . . . . . . . . . . . . . . .
15.4 External-Memory Sorting . . . . . . . . . . . . . . . . .
15.4.1 Multiway Merging . . . . . . . . . . . . . . . . . .
15.5 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . .
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Contents
xix
A Character Strings in Python
721
B Useful Mathematical Facts
725
Bibliography
732
Index
737
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www.it-ebooks.info
Chapter
1
Python Primer
Contents
1.1
Python Overview . . . . . . . . . . . . . . . . . . . . . . . .
1.1.1 The Python Interpreter . . . . . . . . . . . . . . . . . . .
1.1.2 Preview of a Python Program . . . . . . . . . . . . . . .
1.2 Objects in Python . . . . . . . . . . . . . . . . . . . . . . .
1.2.1 Identifiers, Objects, and the Assignment Statement . . . .
1.2.2 Creating and Using Objects . . . . . . . . . . . . . . . . .
1.2.3 Python’s Built-In Classes . . . . . . . . . . . . . . . . . .
1.3 Expressions, Operators, and Precedence . . . . . . . . . . .
1.3.1 Compound Expressions and Operator Precedence . . . . .
1.4 Control Flow . . . . . . . . . . . . . . . . . . . . . . . . . .
1.4.1 Conditionals . . . . . . . . . . . . . . . . . . . . . . . . .
1.4.2 Loops . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1.5 Functions . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1.5.1 Information Passing . . . . . . . . . . . . . . . . . . . . .
1.5.2 Python’s Built-In Functions . . . . . . . . . . . . . . . . .
1.6 Simple Input and Output . . . . . . . . . . . . . . . . . . .
1.6.1 Console Input and Output . . . . . . . . . . . . . . . . .
1.6.2 Files . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
1.7 Exception Handling . . . . . . . . . . . . . . . . . . . . . .
1.7.1 Raising an Exception . . . . . . . . . . . . . . . . . . . .
1.7.2 Catching an Exception . . . . . . . . . . . . . . . . . . .
1.8 Iterators and Generators . . . . . . . . . . . . . . . . . . .
1.9 Additional Python Conveniences . . . . . . . . . . . . . . .
1.9.1 Conditional Expressions . . . . . . . . . . . . . . . . . . .
1.9.2 Comprehension Syntax . . . . . . . . . . . . . . . . . . .
1.9.3 Packing and Unpacking of Sequences . . . . . . . . . . .
1.10 Scopes and Namespaces . . . . . . . . . . . . . . . . . . .
1.11 Modules and the Import Statement . . . . . . . . . . . . .
1.11.1 Existing Modules . . . . . . . . . . . . . . . . . . . . . .
1.12 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . .
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Chapter 1. Python Primer
2
1.1
Python Overview
Building data structures and algorithms requires that we communicate detailed instructions to a computer. An excellent way to perform such communications is
using a high-level computer language, such as Python. The Python programming
language was originally developed by Guido van Rossum in the early 1990s, and
has since become a prominently used language in industry and education. The second major version of the language, Python 2, was released in 2000, and the third
major version, Python 3, released in 2008. We note that there are significant incompatibilities between Python 2 and Python 3. This book is based on Python 3
(more specifically, Python 3.1 or later). The latest version of the language is freely
available at www.python.org, along with documentation and tutorials.
In this chapter, we provide an overview of the Python programming language,
and we continue this discussion in the next chapter, focusing on object-oriented
principles. We assume that readers of this book have prior programming experience, although not necessarily using Python. This book does not provide a complete description of the Python language (there are numerous language references
for that purpose), but it does introduce all aspects of the language that are used in
code fragments later in this book.
1.1.1 The Python Interpreter
Python is formally an interpreted language. Commands are executed through a
piece of software known as the Python interpreter. The interpreter receives a command, evaluates that command, and reports the result of the command. While the
interpreter can be used interactively (especially when debugging), a programmer
typically defines a series of commands in advance and saves those commands in a
plain text file known as source code or a script. For Python, source code is conventionally stored in a file named with the .py suffix (e.g., demo.py).
On most operating systems, the Python interpreter can be started by typing
python from the command line. By default, the interpreter starts in interactive
mode with a clean workspace. Commands from a predefined script saved in a
file (e.g., demo.py) are executed by invoking the interpreter with the filename as
an argument (e.g., python demo.py), or using an additional -i flag in order to
execute a script and then enter interactive mode (e.g., python -i demo.py).
Many integrated development environments (IDEs) provide richer software
development platforms for Python, including one named IDLE that is included
with the standard Python distribution. IDLE provides an embedded text-editor with
support for displaying and editing Python code, and a basic debugger, allowing
step-by-step execution of a program while examining key variable values.
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1.1. Python Overview
3
1.1.2 Preview of a Python Program
As a simple introduction, Code Fragment 1.1 presents a Python program that computes the grade-point average (GPA) for a student based on letter grades that are
entered by a user. Many of the techniques demonstrated in this example will be
discussed in the remainder of this chapter. At this point, we draw attention to a few
high-level issues, for readers who are new to Python as a programming language.
Python’s syntax relies heavily on the use of whitespace. Individual statements
are typically concluded with a newline character, although a command can extend
to another line, either with a concluding backslash character (\), or if an opening
delimiter has not yet been closed, such as the { character in defining value map.
Whitespace is also key in delimiting the bodies of control structures in Python.
Specifically, a block of code is indented to designate it as the body of a control
structure, and nested control structures use increasing amounts of indentation. In
Code Fragment 1.1, the body of the while loop consists of the subsequent 8 lines,
including a nested conditional structure.
Comments are annotations provided for human readers, yet ignored by the
Python interpreter. The primary syntax for comments in Python is based on use
of the # character, which designates the remainder of the line as a comment.
print( Welcome to the GPA calculator. )
print( Please enter all your letter grades, one per line. )
print( Enter a blank line to designate the end. )
# map from letter grade to point value
points = { A+ :4.0, A :4.0, A- :3.67, B+ :3.33, B :3.0, B- :2.67,
C+ :2.33, C :2.0, C :1.67, D+ :1.33, D :1.0, F :0.0}
num courses = 0
total points = 0
done = False
while not done:
grade = input( )
# read line from user
# empty line was entered
if grade == :
done = True
elif grade not in points:
# unrecognized grade entered
print("Unknown grade {0} being ignored".format(grade))
else:
num courses += 1
total points += points[grade]
# avoid division by zero
if num courses > 0:
print( Your GPA is {0:.3} .format(total points / num courses))
Code Fragment 1.1: A Python program that computes a grade-point average (GPA).
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Chapter 1. Python Primer
4
1.2
Objects in Python
Python is an object-oriented language and classes form the basis for all data types.
In this section, we describe key aspects of Python’s object model, and we introduce Python’s built-in classes, such as the int class for integers, the float class
for floating-point values, and the str class for character strings. A more thorough
presentation of object-orientation is the focus of Chapter 2.
1.2.1 Identifiers, Objects, and the Assignment Statement
The most important of all Python commands is an assignment statement, such as
temperature = 98.6
This command establishes temperature as an identifier (also known as a name),
and then associates it with the object expressed on the right-hand side of the equal
sign, in this case a floating-point object with value 98.6. We portray the outcome
of this assignment in Figure 1.1.
float
temperature
98.6
Figure 1.1: The identifier temperature references an instance of the float class
having value 98.6.
Identifiers
Identifiers in Python are case-sensitive, so temperature and Temperature are distinct names. Identifiers can be composed of almost any combination of letters,
numerals, and underscore characters (or more general Unicode characters). The
primary restrictions are that an identifier cannot begin with a numeral (thus 9lives
is an illegal name), and that there are 33 specially reserved words that cannot be
used as identifiers, as shown in Table 1.1.
False
None
True
and
as
assert
break
class
continue
def
del
elif
Reserved Words
else
from
in
except global is
finally if
lambda
for
import nonlocal
not
or
pass
raise
return
try
while
with
yield
Table 1.1: A listing of the reserved words in Python. These names cannot be used
as identifiers.
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1.2. Objects in Python
5
For readers familiar with other programming languages, the semantics of a
Python identifier is most similar to a reference variable in Java or a pointer variable
in C++. Each identifier is implicitly associated with the memory address of the
object to which it refers. A Python identifier may be assigned to a special object
named None, serving a similar purpose to a null reference in Java or C++.
Unlike Java and C++, Python is a dynamically typed language, as there is no
advance declaration associating an identifier with a particular data type. An identifier can be associated with any type of object, and it can later be reassigned to
another object of the same (or different) type. Although an identifier has no declared type, the object to which it refers has a definite type. In our first example,
the characters 98.6 are recognized as a floating-point literal, and thus the identifier
temperature is associated with an instance of the float class having that value.
A programmer can establish an alias by assigning a second identifier to an
existing object. Continuing with our earlier example, Figure 1.2 portrays the result
of a subsequent assignment, original = temperature.
float
temperature
98.6
original
Figure 1.2: Identifiers temperature and original are aliases for the same object.
Once an alias has been established, either name can be used to access the underlying object. If that object supports behaviors that affect its state, changes enacted
through one alias will be apparent when using the other alias (because they refer to
the same object). However, if one of the names is reassigned to a new value using
a subsequent assignment statement, that does not affect the aliased object, rather it
breaks the alias. Continuing with our concrete example, we consider the command:
temperature = temperature + 5.0
The execution of this command begins with the evaluation of the expression on the
right-hand side of the = operator. That expression, temperature + 5.0, is evaluated based on the existing binding of the name temperature, and so the result
has value 103.6, that is, 98.6 + 5.0. That result is stored as a new floating-point
instance, and only then is the name on the left-hand side of the assignment statement, temperature, (re)assigned to the result. The subsequent configuration is diagrammed in Figure 1.3. Of particular note, this last command had no effect on the
value of the existing float instance that identifier original continues to reference.
float
103.6
float
temperature
98.6
original
Figure 1.3: The temperature identifier has been assigned to a new value, while
original continues to refer to the previously existing value.
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Chapter 1. Python Primer
6
1.2.2 Creating and Using Objects
Instantiation
The process of creating a new instance of a class is known as instantiation. In
general, the syntax for instantiating an object is to invoke the constructor of a class.
For example, if there were a class named Widget, we could create an instance of
that class using a syntax such as w = Widget( ), assuming that the constructor does
not require any parameters. If the constructor does require parameters, we might
use a syntax such as Widget(a, b, c) to construct a new instance.
Many of Python’s built-in classes (discussed in Section 1.2.3) support what is
known as a literal form for designating new instances. For example, the command
temperature = 98.6 results in the creation of a new instance of the float class; the
term 98.6 in that expression is a literal form. We discuss further cases of Python
literals in the coming section.
From a programmer’s perspective, yet another way to indirectly create a new
instance of a class is to call a function that creates and returns such an instance. For
example, Python has a built-in function named sorted (see Section 1.5.2) that takes
a sequence of comparable elements as a parameter and returns a new instance of
the list class containing those elements in sorted order.
Calling Methods
Python supports traditional functions (see Section 1.5) that are invoked with a syntax such as sorted(data), in which case data is a parameter sent to the function.
Python’s classes may also define one or more methods (also known as member
functions), which are invoked on a specific instance of a class using the dot (“.”)
operator. For example, Python’s list class has a method named sort that can be
invoked with a syntax such as data.sort( ). This particular method rearranges the
contents of the list so that they are sorted.
The expression to the left of the dot identifies the object upon which the method
is invoked. Often, this will be an identifier (e.g., data), but we can use the dot operator to invoke a method upon the immediate result of some other operation. For
example, if response identifies a string instance (we will discuss strings later in this
section), the syntax response.lower( ).startswith( y ) first evaluates the method
call, response.lower( ), which itself returns a new string instance, and then the
startswith( y ) method is called on that intermediate string.
When using a method of a class, it is important to understand its behavior.
Some methods return information about the state of an object, but do not change
that state. These are known as accessors. Other methods, such as the sort method
of the list class, do change the state of an object. These methods are known as
mutators or update methods.
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1.2. Objects in Python
7
1.2.3 Python’s Built-In Classes
Table 1.2 provides a summary of commonly used, built-in classes in Python; we
take particular note of which classes are mutable and which are immutable. A class
is immutable if each object of that class has a fixed value upon instantiation that
cannot subsequently be changed. For example, the float class is immutable. Once
an instance has been created, its value cannot be changed (although an identifier
referencing that object can be reassigned to a different value).
Class
bool
int
float
list
tuple
str
set
frozenset
dict
Description
Boolean value
integer (arbitrary magnitude)
floating-point number
mutable sequence of objects
immutable sequence of objects
character string
unordered set of distinct objects
immutable form of set class
associative mapping (aka dictionary)
Immutable?
Table 1.2: Commonly used built-in classes for Python
In this section, we provide an introduction to these classes, discussing their
purpose and presenting several means for creating instances of the classes. Literal
forms (such as 98.6) exist for most of the built-in classes, and all of the classes
support a traditional constructor form that creates instances that are based upon
one or more existing values. Operators supported by these classes are described in
Section 1.3. More detailed information about these classes can be found in later
chapters as follows: lists and tuples (Chapter 5); strings (Chapters 5 and 13, and
Appendix A); sets and dictionaries (Chapter 10).
The bool Class
The bool class is used to manipulate logical (Boolean) values, and the only two
instances of that class are expressed as the literals True and False. The default
constructor, bool( ), returns False, but there is no reason to use that syntax rather
than the more direct literal form. Python allows the creation of a Boolean value
from a nonboolean type using the syntax bool(foo) for value foo. The interpretation
depends upon the type of the parameter. Numbers evaluate to False if zero, and
True if nonzero. Sequences and other container types, such as strings and lists,
evaluate to False if empty and True if nonempty. An important application of this
interpretation is the use of a nonboolean value as a condition in a control structure.
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Chapter 1. Python Primer
8
The int Class
The int and float classes are the primary numeric types in Python. The int class is
designed to represent integer values with arbitrary magnitude. Unlike Java and
C++, which support different integral types with different precisions (e.g., int,
short, long), Python automatically chooses the internal representation for an integer based upon the magnitude of its value. Typical literals for integers include 0,
137, and −23. In some contexts, it is convenient to express an integral value using
binary, octal, or hexadecimal. That can be done by using a prefix of the number 0
and then a character to describe the base. Example of such literals are respectively
0b1011, 0o52, and 0x7f.
The integer constructor, int( ), returns value 0 by default. But this constructor
can be used to construct an integer value based upon an existing value of another
type. For example, if f represents a floating-point value, the syntax int(f) produces
the truncated value of f. For example, both int(3.14) and int(3.99) produce the
value 3, while int(−3.9) produces the value −3. The constructor can also be used
to parse a string that is presumed to represent an integral value (such as one entered by a user). If s represents a string, then int(s) produces the integral value
that string represents. For example, the expression int( 137 ) produces the integer value 137. If an invalid string is given as a parameter, as in int( hello ), a
ValueError is raised (see Section 1.7 for discussion of Python’s exceptions). By default, the string must use base 10. If conversion from a different base is desired, that
base can be indicated as a second, optional, parameter. For example, the expression
int( 7f , 16) evaluates to the integer 127.
The float Class
The float class is the sole floating-point type in Python, using a fixed-precision
representation. Its precision is more akin to a double in Java or C++, rather than
those languages’ float type. We have already discussed a typical literal form, 98.6.
We note that the floating-point equivalent of an integral number can be expressed
directly as 2.0. Technically, the trailing zero is optional, so some programmers
might use the expression 2. to designate this floating-point literal. One other form
of literal for floating-point values uses scientific notation. For example, the literal
6.022e23 represents the mathematical value 6.022 × 1023 .
The constructor form of float( ) returns 0.0. When given a parameter, the constructor attempts to return the equivalent floating-point value. For example, the call
float(2) returns the floating-point value 2.0. If the parameter to the constructor is
a string, as with float( 3.14 ), it attempts to parse that string as a floating-point
value, raising a ValueError as an exception.
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1.2. Objects in Python
9
Sequence Types: The list, tuple, and str Classes
The list, tuple, and str classes are sequence types in Python, representing a collection of values in which the order is significant. The list class is the most general,
representing a sequence of arbitrary objects (akin to an “array” in other languages).
The tuple class is an immutable version of the list class, benefiting from a streamlined internal representation. The str class is specially designed for representing
an immutable sequence of text characters. We note that Python does not have a
separate class for characters; they are just strings with length one.
The list Class
A list instance stores a sequence of objects. A list is a referential structure, as it
technically stores a sequence of references to its elements (see Figure 1.4). Elements of a list may be arbitrary objects (including the None object). Lists are
array-based sequences and are zero-indexed, thus a list of length n has elements
indexed from 0 to n − 1 inclusive. Lists are perhaps the most used container type in
Python and they will be extremely central to our study of data structures and algorithms. They have many valuable behaviors, including the ability to dynamically
expand and contract their capacities as needed. In this chapter, we will discuss only
the most basic properties of lists. We revisit the inner working of all of Python’s
sequence types as the focus of Chapter 5.
Python uses the characters [ ] as delimiters for a list literal, with [ ] itself being
an empty list. As another example, [ red , green , blue ] is a list containing
three string instances. The contents of a list literal need not be expressed as literals;
if identifiers a and b have been established, then syntax [a, b] is legitimate.
The list( ) constructor produces an empty list by default. However, the constructor will accept any parameter that is of an iterable type. We will discuss iteration
further in Section 1.8, but examples of iterable types include all of the standard container types (e.g., strings, list, tuples, sets, dictionaries). For example, the syntax
list( hello ) produces a list of individual characters, [ h , e , l , l , o ].
Because an existing list is itself iterable, the syntax backup = list(data) can be
used to construct a new list instance referencing the same contents as the original.
2
3
5
7
11
13
4
5
17
19
23
29
31
primes:
0
1
2
3
6
7
8
9
10
Figure 1.4: Python’s internal representation of a list of integers, instantiated as
prime = [2, 3, 5, 7, 11, 13, 17, 19, 23, 29, 31]. The implicit indices of the elements are shown below each entry.
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Chapter 1. Python Primer
10
The tuple Class
The tuple class provides an immutable version of a sequence, and therefore its
instances have an internal representation that may be more streamlined than that of
a list. While Python uses the [ ] characters to delimit a list, parentheses delimit a
tuple, with ( ) being an empty tuple. There is one important subtlety. To express
a tuple of length one as a literal, a comma must be placed after the element, but
within the parentheses. For example, (17,) is a one-element tuple. The reason for
this requirement is that, without the trailing comma, the expression (17) is viewed
as a simple parenthesized numeric expression.
The str Class
Python’s str class is specifically designed to efficiently represent an immutable
sequence of characters, based upon the Unicode international character set. Strings
have a more compact internal representation than the referential lists and tuples, as
portrayed in Figure 1.5.
S A M P L E
0
1
2
3
4
5
Figure 1.5: A Python string, which is an indexed sequence of characters.
String literals can be enclosed in single quotes, as in hello , or double
quotes, as in "hello". This choice is convenient, especially when using another of the quotation characters as an actual character in the sequence, as in
"Don t worry". Alternatively, the quote delimiter can be designated using a
backslash as a so-called escape character, as in Don\ t worry . Because the
backslash has this purpose, the backslash must itself be escaped to occur as a natural character of the string literal, as in C:\\Python\\ , for a string that would be
displayed as C:\Python\. Other commonly escaped characters are \n for newline
and \t for tab. Unicode characters can be included, such as 20\u20AC for the
string 20 .
or """ to begin and end a string
Python also supports using the delimiter
literal. The advantage of such triple-quoted strings is that newline characters can
be embedded naturally (rather than escaped as \n). This can greatly improve the
readability of long, multiline strings in source code. For example, at the beginning
of Code Fragment 1.1, rather than use separate print statements for each line of
introductory output, we can use a single print statement, as follows:
print(”””Welcome to the GPA calculator.
Please enter all your letter grades, one per line.
Enter a blank line to designate the end.”””)
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1.2. Objects in Python
11
The set and frozenset Classes
Python’s set class represents the mathematical notion of a set, namely a collection
of elements, without duplicates, and without an inherent order to those elements.
The major advantage of using a set, as opposed to a list, is that it has a highly
optimized method for checking whether a specific element is contained in the set.
This is based on a data structure known as a hash table (which will be the primary
topic of Chapter 10). However, there are two important restrictions due to the
algorithmic underpinnings. The first is that the set does not maintain the elements
in any particular order. The second is that only instances of immutable types can be
added to a Python set. Therefore, objects such as integers, floating-point numbers,
and character strings are eligible to be elements of a set. It is possible to maintain a
set of tuples, but not a set of lists or a set of sets, as lists and sets are mutable. The
frozenset class is an immutable form of the set type, so it is legal to have a set of
frozensets.
Python uses curly braces { and } as delimiters for a set, for example, as {17}
or { red , green , blue }. The exception to this rule is that { } does not
represent an empty set; for historical reasons, it represents an empty dictionary
(see next paragraph). Instead, the constructor syntax set( ) produces an empty set.
If an iterable parameter is sent to the constructor, then the set of distinct elements
is produced. For example, set( hello ) produces { h , e , l , o }.
The dict Class
Python’s dict class represents a dictionary, or mapping, from a set of distinct keys
to associated values. For example, a dictionary might map from unique student ID
numbers, to larger student records (such as the student’s name, address, and course
grades). Python implements a dict using an almost identical approach to that of a
set, but with storage of the associated values.
A dictionary literal also uses curly braces, and because dictionaries were introduced in Python prior to sets, the literal form { } produces an empty dictionary.
A nonempty dictionary is expressed using a comma-separated series of key:value
pairs. For example, the dictionary { ga : Irish , de : German } maps
ga to Irish and de to German .
The constructor for the dict class accepts an existing mapping as a parameter,
in which case it creates a new dictionary with identical associations as the existing
one. Alternatively, the constructor accepts a sequence of key-value pairs as a parameter, as in dict(pairs) with pairs = [( ga , Irish ), ( de , German )].
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Chapter 1. Python Primer
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1.3
Expressions, Operators, and Precedence
In the previous section, we demonstrated how names can be used to identify existing objects, and how literals and constructors can be used to create instances of
built-in classes. Existing values can be combined into larger syntactic expressions
using a variety of special symbols and keywords known as operators. The semantics of an operator depends upon the type of its operands. For example, when a
and b are numbers, the syntax a + b indicates addition, while if a and b are strings,
the operator indicates concatenation. In this section, we describe Python’s operators in various contexts of the built-in types.
We continue, in Section 1.3.1, by discussing compound expressions, such as
a + b c, which rely on the evaluation of two or more operations. The order
in which the operations of a compound expression are evaluated can affect the
overall value of the expression. For this reason, Python defines a specific order of
precedence for evaluating operators, and it allows a programmer to override this
order by using explicit parentheses to group subexpressions.
Logical Operators
Python supports the following keyword operators for Boolean values:
not unary negation
and conditional and
or conditional or
The and and or operators short-circuit, in that they do not evaluate the second
operand if the result can be determined based on the value of the first operand.
This feature is useful when constructing Boolean expressions in which we first test
that a certain condition holds (such as a reference not being None), and then test a
condition that could have otherwise generated an error condition had the prior test
not succeeded.
Equality Operators
Python supports the following operators to test two notions of equality:
is
same identity
is not different identity
==
equivalent
!=
not equivalent
The expression a is b evaluates to True, precisely when identifiers a and b are
aliases for the same object. The expression a == b tests a more general notion of
equivalence. If identifiers a and b refer to the same object, then a == b should also
evaluate to True. Yet a == b also evaluates to True when the identifiers refer to
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1.3. Expressions, Operators, and Precedence
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different objects that happen to have values that are deemed equivalent. The precise
notion of equivalence depends on the data type. For example, two strings are considered equivalent if they match character for character. Two sets are equivalent if
they have the same contents, irrespective of order. In most programming situations,
the equivalence tests == and != are the appropriate operators; use of is and is not
should be reserved for situations in which it is necessary to detect true aliasing.
Comparison Operators
Data types may define a natural order via the following operators:
< less than
<= less than or equal to
> greater than
>= greater than or equal to
These operators have expected behavior for numeric types, and are defined lexicographically, and case-sensitively, for strings. An exception is raised if operands
have incomparable types, as with 5 < hello .
Arithmetic Operators
Python supports the following arithmetic operators:
+ addition
− subtraction
multiplication
/ true division
// integer division
% the modulo operator
The use of addition, subtraction, and multiplication is straightforward, noting that if
both operands have type int, then the result is an int as well; if one or both operands
have type float, the result will be a float.
Python takes more care in its treatment of division. We first consider the case
in which both operands have type int, for example, the quantity 27 divided by
4. In mathematical notation, 27 ÷ 4 = 6 34 = 6.75. In Python, the / operator
designates true division, returning the floating-point result of the computation.
Thus, 27 / 4 results in the float value 6.75. Python supports the pair of operators // and % to perform the integral calculations, with expression 27 // 4 evaluating to int value 6 (the mathematical floor of the quotient), and expression 27 % 4
evaluating to int value 3, the remainder of the integer division. We note that languages such as C, C++, and Java do not support the // operator; instead, the / operator returns the truncated quotient when both operands have integral type, and the
result of true division when at least one operand has a floating-point type.
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Chapter 1. Python Primer
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Python carefully extends the semantics of // and % to cases where one or both
operands are negative. For the sake of notation, let us assume that variables n
n , and that
and m represent respectively the dividend and divisor of a quotient m
q = n // m and r = n % m. Python guarantees that q m + r will equal n. We
already saw an example of this identity with positive operands, as 6 ∗ 4 + 3 = 27.
When the divisor m is positive, Python further guarantees that 0 ≤ r < m. As
a consequence, we find that −27 // 4 evaluates to −7 and −27 % 4 evaluates
to 1, as (−7) ∗ 4 + 1 = −27. When the divisor is negative, Python guarantees that
m < r ≤ 0. As an example, 27 // −4 is −7 and 27 % −4 is −1, satisfying the
identity 27 = (−7) ∗ (−4) + (−1).
The conventions for the // and % operators are even extended to floatingpoint operands, with the expression q = n // m being the integral floor of the
quotient, and r = n % m being the “remainder” to ensure that q m + r equals
n. For example, 8.2 // 3.14 evaluates to 2.0 and 8.2 % 3.14 evaluates to 1.92, as
2.0 ∗ 3.14 + 1.92 = 8.2.
Bitwise Operators
Python provides the following bitwise operators for integers:
∼ bitwise complement (prefix unary operator)
& bitwise and
|
bitwise or
ˆ
bitwise exclusive-or
<< shift bits left, filling in with zeros
>> shift bits right, filling in with sign bit
Sequence Operators
Each of Python’s built-in sequence types (str, tuple, and list) support the following
operator syntaxes:
s[j]
element at index j
s[start:stop]
slice including indices [start,stop)
s[start:stop:step] slice including indices start, start + step,
start + 2 step, . . . , up to but not equalling or stop
s+t
concatenation of sequences
shorthand for s + s + s + ... (k times)
k s
val in s
containment check
val not in s
non-containment check
Python relies on zero-indexing of sequences, thus a sequence of length n has elements indexed from 0 to n − 1 inclusive. Python also supports the use of negative
indices, which denote a distance from the end of the sequence; index −1 denotes
the last element, index −2 the second to last, and so on. Python uses a slicing
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1.3. Expressions, Operators, and Precedence
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notation to describe subsequences of a sequence. Slices are described as half-open
intervals, with a start index that is included, and a stop index that is excluded. For
example, the syntax data[3:8] denotes a subsequence including the five indices:
3, 4, 5, 6, 7. An optional “step” value, possibly negative, can be indicated as a third
parameter of the slice. If a start index or stop index is omitted in the slicing notation, it is presumed to designate the respective extreme of the original sequence.
Because lists are mutable, the syntax s[j] = val can be used to replace an element at a given index. Lists also support a syntax, del s[j], that removes the designated element from the list. Slice notation can also be used to replace or delete a
sublist.
The notation val in s can be used for any of the sequences to see if there is an
element equivalent to val in the sequence. For strings, this syntax can be used to
check for a single character or for a larger substring, as with amp in example .
All sequences define comparison operations based on lexicographic order, performing an element by element comparison until the first difference is found. For
example, [5, 6, 9] < [5, 7] because of the entries at index 1. Therefore, the following operations are supported by sequence types:
s == t equivalent (element by element)
s != t not equivalent
s < t lexicographically less than
s <= t lexicographically less than or equal to
s > t lexicographically greater than
s >= t lexicographically greater than or equal to
Operators for Sets and Dictionaries
Sets and frozensets support the following operators:
key in s
containment check
key not in s non-containment check
s1 == s2
s1 is equivalent to s2
s1 != s2
s1 is not equivalent to s2
s1 <= s2
s1 is subset of s2
s1 < s2
s1 is proper subset of s2
s1 >= s2
s1 is superset of s2
s1 > s2
s1 is proper superset of s2
s1 | s2
the union of s1 and s2
s1 & s2
the intersection of s1 and s2
s1 − s2
the set of elements in s1 but not s2
s1 ˆ s2
the set of elements in precisely one of s1 or s2
Note well that sets do not guarantee a particular order of their elements, so the
comparison operators, such as <, are not lexicographic; rather, they are based on
the mathematical notion of a subset. As a result, the comparison operators define
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Chapter 1. Python Primer
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a partial order, but not a total order, as disjoint sets are neither “less than,” “equal
to,” or “greater than” each other. Sets also support many fundamental behaviors
through named methods (e.g., add, remove); we will explore their functionality
more fully in Chapter 10.
Dictionaries, like sets, do not maintain a well-defined order on their elements.
Furthermore, the concept of a subset is not typically meaningful for dictionaries, so
the dict class does not support operators such as <. Dictionaries support the notion
of equivalence, with d1 == d2 if the two dictionaries contain the same set of keyvalue pairs. The most widely used behavior of dictionaries is accessing a value
associated with a particular key k with the indexing syntax, d[k]. The supported
operators are as follows:
d[key]
d[key] = value
del d[key]
key in d
key not in d
d1 == d2
d1 != d2
value associated with given key
set (or reset) the value associated with given key
remove key and its associated value from dictionary
containment check
non-containment check
d1 is equivalent to d2
d1 is not equivalent to d2
Dictionaries also support many useful behaviors through named methods, which
we explore more fully in Chapter 10.
Extended Assignment Operators
Python supports an extended assignment operator for most binary operators, for
example, allowing a syntax such as count += 5. By default, this is a shorthand for
the more verbose count = count + 5. For an immutable type, such as a number or
a string, one should not presume that this syntax changes the value of the existing
object, but instead that it will reassign the identifier to a newly constructed value.
(See discussion of Figure 1.3.) However, it is possible for a type to redefine such
semantics to mutate the object, as the list class does for the += operator.
alpha = [1, 2, 3]
beta = alpha
beta += [4, 5]
beta = beta + [6, 7]
print(alpha)
#
#
#
#
an alias for alpha
extends the original list with two more elements
reassigns beta to a new list [1, 2, 3, 4, 5, 6, 7]
will be [1, 2, 3, 4, 5]
This example demonstrates the subtle difference between the list semantics for the
syntax beta += foo versus beta = beta + foo.
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1.3. Expressions, Operators, and Precedence
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1.3.1 Compound Expressions and Operator Precedence
Programming languages must have clear rules for the order in which compound
expressions, such as 5 + 2 3, are evaluated. The formal order of precedence
for operators in Python is given in Table 1.3. Operators in a category with higher
precedence will be evaluated before those with lower precedence, unless the expression is otherwise parenthesized. Therefore, we see that Python gives precedence to
multiplication over addition, and therefore evaluates the expression 5 + 2 3 as
5 + (2 3), with value 11, but the parenthesized expression (5 + 2) 3 evaluates to value 21. Operators within a category are typically evaluated from left to
right, thus 5 − 2 + 3 has value 6. Exceptions to this rule include that unary operators and exponentiation are evaluated from right to left.
Python allows a chained assignment, such as x = y = 0, to assign multiple
identifiers to the rightmost value. Python also allows the chaining of comparison
operators. For example, the expression 1 <= x + y <= 10 is evaluated as the
compound (1 <= x + y) and (x + y <= 10), but without computing the intermediate value x + y twice.
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
Operator Precedence
Type
Symbols
member access
expr.member
function/method calls
expr(...)
container subscripts/slices expr[...]
exponentiation
unary operators
+expr, −expr, ˜expr
multiplication, division
, /, //, %
addition, subtraction
+, −
bitwise shifting
<<, >>
bitwise-and
&
bitwise-xor
ˆ
bitwise-or
|
comparisons
is, is not, ==, !=, <, <=, >, >=
containment
in, not in
logical-not
not expr
logical-and
and
logical-or
or
conditional
val1 if cond else val2
assignments
=, +=, −=, =, etc.
Table 1.3: Operator precedence in Python, with categories ordered from highest
precedence to lowest precedence. When stated, we use expr to denote a literal,
identifier, or result of a previously evaluated expression. All operators without
explicit mention of expr are binary operators, with syntax expr1 operator expr2.
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1.4
Control Flow
In this section, we review Python’s most fundamental control structures: conditional statements and loops. Common to all control structures is the syntax used
in Python for defining blocks of code. The colon character is used to delimit the
beginning of a block of code that acts as a body for a control structure. If the body
can be stated as a single executable statement, it can technically placed on the same
line, to the right of the colon. However, a body is more typically typeset as an
indented block starting on the line following the colon. Python relies on the indentation level to designate the extent of that block of code, or any nested blocks of
code within. The same principles will be applied when designating the body of a
function (see Section 1.5), and the body of a class (see Section 2.3).
1.4.1 Conditionals
Conditional constructs (also known as if statements) provide a way to execute a
chosen block of code based on the run-time evaluation of one or more Boolean
expressions. In Python, the most general form of a conditional is written as follows:
if first condition:
first body
elif second condition:
second body
elif third condition:
third body
else:
fourth body
Each condition is a Boolean expression, and each body contains one or more commands that are to be executed conditionally. If the first condition succeeds, the first
body will be executed; no other conditions or bodies are evaluated in that case.
If the first condition fails, then the process continues in similar manner with the
evaluation of the second condition. The execution of this overall construct will
cause precisely one of the bodies to be executed. There may be any number of
elif clauses (including zero), and the final else clause is optional. As described on
page 7, nonboolean types may be evaluated as Booleans with intuitive meanings.
For example, if response is a string that was entered by a user, and we want to
condition a behavior on this being a nonempty string, we may write
if response:
as a shorthand for the equivalent,
if response !=
:
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1.4. Control Flow
19
As a simple example, a robot controller might have the following logic:
if door is closed:
open door( )
advance( )
Notice that the final command, advance( ), is not indented and therefore not part of
the conditional body. It will be executed unconditionally (although after opening a
closed door).
We may nest one control structure within another, relying on indentation to
make clear the extent of the various bodies. Revisiting our robot example, here is a
more complex control that accounts for unlocking a closed door.
if door is closed:
if door is locked:
unlock door( )
open door( )
advance( )
The logic expressed by this example can be diagrammed as a traditional flowchart,
as portrayed in Figure 1.6.
False
door is closed
True
False
door is locked
True
unlock door( )
open door( )
advance( )
Figure 1.6: A flowchart describing the logic of nested conditional statements.
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Chapter 1. Python Primer
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1.4.2 Loops
Python offers two distinct looping constructs. A while loop allows general repetition based upon the repeated testing of a Boolean condition. A for loop provides
convenient iteration of values from a defined series (such as characters of a string,
elements of a list, or numbers within a given range). We discuss both forms in this
section.
While Loops
The syntax for a while loop in Python is as follows:
while condition:
body
As with an if statement, condition can be an arbitrary Boolean expression, and
body can be an arbitrary block of code (including nested control structures). The
execution of a while loop begins with a test of the Boolean condition. If that condition evaluates to True, the body of the loop is performed. After each execution of
the body, the loop condition is retested, and if it evaluates to True, another iteration
of the body is performed. When the conditional test evaluates to False (assuming
it ever does), the loop is exited and the flow of control continues just beyond the
body of the loop.
As an example, here is a loop that advances an index through a sequence of
characters until finding an entry with value X or reaching the end of the sequence.
j=0
while j < len(data) and data[j] != X :
j += 1
The len function, which we will introduce in Section 1.5.2, returns the length of a
sequence such as a list or string. The correctness of this loop relies on the shortcircuiting behavior of the and operator, as described on page 12. We intentionally test j < len(data) to ensure that j is a valid index, prior to accessing element
data[j]. Had we written that compound condition with the opposite order, the evaluation of data[j] would eventually raise an IndexError when X is not found. (See
Section 1.7 for discussion of exceptions.)
As written, when this loop terminates, variable j’s value will be the index of
the leftmost occurrence of X , if found, or otherwise the length of the sequence
(which is recognizable as an invalid index to indicate failure of the search). It is
worth noting that this code behaves correctly, even in the special case when the list
is empty, as the condition j < len(data) will initially fail and the body of the loop
will never be executed.
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1.4. Control Flow
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For Loops
Python’s for-loop syntax is a more convenient alternative to a while loop when
iterating through a series of elements. The for-loop syntax can be used on any
type of iterable structure, such as a list, tuple str, set, dict, or file (we will discuss
iterators more formally in Section 1.8). Its general syntax appears as follows.
for element in iterable:
body
# body may refer to element as an identifier
For readers familiar with Java, the semantics of Python’s for loop is similar to the
“for each” loop style introduced in Java 1.5.
As an instructive example of such a loop, we consider the task of computing
the sum of a list of numbers. (Admittedly, Python has a built-in function, sum, for
this purpose.) We perform the calculation with a for loop as follows, assuming that
data identifies the list:
total = 0
for val in data:
total += val
# note use of the loop variable, val
The loop body executes once for each element of the data sequence, with the identifier, val, from the for-loop syntax assigned at the beginning of each pass to a
respective element. It is worth noting that val is treated as a standard identifier. If
the element of the original data happens to be mutable, the val identifier can be
used to invoke its methods. But a reassignment of identifier val to a new value has
no affect on the original data, nor on the next iteration of the loop.
As a second classic example, we consider the task of finding the maximum
value in a list of elements (again, admitting that Python’s built-in max function
already provides this support). If we can assume that the list, data, has at least one
element, we could implement this task as follows:
biggest = data[0]
for val in data:
if val > biggest:
biggest = val
# as we assume nonempty list
Although we could accomplish both of the above tasks with a while loop, the
for-loop syntax had an advantage of simplicity, as there is no need to manage an
explicit index into the list nor to author a Boolean loop condition. Furthermore, we
can use a for loop in cases for which a while loop does not apply, such as when
iterating through a collection, such as a set, that does not support any direct form
of indexing.
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Chapter 1. Python Primer
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Index-Based For Loops
The simplicity of a standard for loop over the elements of a list is wonderful; however, one limitation of that form is that we do not know where an element resides
within the sequence. In some applications, we need knowledge of the index of an
element within the sequence. For example, suppose that we want to know where
the maximum element in a list resides.
Rather than directly looping over the elements of the list in that case, we prefer
to loop over all possible indices of the list. For this purpose, Python provides
a built-in class named range that generates integer sequences. (We will discuss
generators in Section 1.8.) In simplest form, the syntax range(n) generates the
series of n values from 0 to n − 1. Conveniently, these are precisely the series of
valid indices into a sequence of length n. Therefore, a standard Python idiom for
looping through the series of indices of a data sequence uses a syntax,
for j in range(len(data)):
In this case, identifier j is not an element of the data—it is an integer. But the
expression data[j] can be used to retrieve the respective element. For example, we
can find the index of the maximum element of a list as follows:
big index = 0
for j in range(len(data)):
if data[j] > data[big index]:
big index = j
Break and Continue Statements
Python supports a break statement that immediately terminate a while or for loop
when executed within its body. More formally, if applied within nested control
structures, it causes the termination of the most immediately enclosing loop. As
a typical example, here is code that determines whether a target value occurs in a
data set:
found = False
for item in data:
if item == target:
found = True
break
Python also supports a continue statement that causes the current iteration of a
loop body to stop, but with subsequent passes of the loop proceeding as expected.
We recommend that the break and continue statements be used sparingly. Yet,
there are situations in which these commands can be effectively used to avoid introducing overly complex logical conditions.
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1.5. Functions
1.5
23
Functions
In this section, we explore the creation of and use of functions in Python. As we
did in Section 1.2.2, we draw a distinction between functions and methods. We
use the general term function to describe a traditional, stateless function that is invoked without the context of a particular class or an instance of that class, such as
sorted(data). We use the more specific term method to describe a member function
that is invoked upon a specific object using an object-oriented message passing syntax, such as data.sort( ). In this section, we only consider pure functions; methods
will be explored with more general object-oriented principles in Chapter 2.
We begin with an example to demonstrate the syntax for defining functions in
Python. The following function counts the number of occurrences of a given target
value within any form of iterable data set.
def count(data, target):
n=0
for item in data:
if item == target:
n += 1
return n
# found a match
The first line, beginning with the keyword def, serves as the function’s signature.
This establishes a new identifier as the name of the function (count, in this example), and it establishes the number of parameters that it expects, as well as names
identifying those parameters (data and target, in this example). Unlike Java and
C++, Python is a dynamically typed language, and therefore a Python signature
does not designate the types of those parameters, nor the type (if any) of a return
value. Those expectations should be stated in the function’s documentation (see
Section 2.2.3) and can be enforced within the body of the function, but misuse of a
function will only be detected at run-time.
The remainder of the function definition is known as the body of the function. As is the case with control structures in Python, the body of a function is
typically expressed as an indented block of code. Each time a function is called,
Python creates a dedicated activation record that stores information relevant to the
current call. This activation record includes what is known as a namespace (see
Section 1.10) to manage all identifiers that have local scope within the current call.
The namespace includes the function’s parameters and any other identifiers that are
defined locally within the body of the function. An identifier in the local scope
of the function caller has no relation to any identifier with the same name in the
caller’s scope (although identifiers in different scopes may be aliases to the same
object). In our first example, the identifier n has scope that is local to the function
call, as does the identifier item, which is established as the loop variable.
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Chapter 1. Python Primer
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Return Statement
A return statement is used within the body of a function to indicate that the function should immediately cease execution, and that an expressed value should be
returned to the caller. If a return statement is executed without an explicit argument, the None value is automatically returned. Likewise, None will be returned if
the flow of control ever reaches the end of a function body without having executed
a return statement. Often, a return statement will be the final command within the
body of the function, as was the case in our earlier example of a count function.
However, there can be multiple return statements in the same function, with conditional logic controlling which such command is executed, if any. As a further
example, consider the following function that tests if a value exists in a sequence.
def contains(data, target):
for item in target:
if item == target:
return True
return False
# found a match
If the conditional within the loop body is ever satisfied, the return True statement is
executed and the function immediately ends, with True designating that the target
value was found. Conversely, if the for loop reaches its conclusion without ever
finding the match, the final return False statement will be executed.
1.5.1 Information Passing
To be a successful programmer, one must have clear understanding of the mechanism in which a programming language passes information to and from a function. In the context of a function signature, the identifiers used to describe the
expected parameters are known as formal parameters, and the objects sent by the
caller when invoking the function are the actual parameters. Parameter passing
in Python follows the semantics of the standard assignment statement. When a
function is invoked, each identifier that serves as a formal parameter is assigned, in
the function’s local scope, to the respective actual parameter that is provided by the
caller of the function.
For example, consider the following call to our count function from page 23:
prizes = count(grades, A )
Just before the function body is executed, the actual parameters, grades and A ,
are implicitly assigned to the formal parameters, data and target, as follows:
data = grades
target = A
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1.5. Functions
25
These assignment statements establish identifier data as an alias for grades and
target as a name for the string literal A . (See Figure 1.7.)
grades
data
target
list
str
...
A
Figure 1.7: A portrayal of parameter passing in Python, for the function call
count(grades, A ). Identifiers data and target are formal parameters defined
within the local scope of the count function.
The communication of a return value from the function back to the caller is
similarly implemented as an assignment. Therefore, with our sample invocation of
prizes = count(grades, A ), the identifier prizes in the caller’s scope is assigned
to the object that is identified as n in the return statement within our function body.
An advantage to Python’s mechanism for passing information to and from a
function is that objects are not copied. This ensures that the invocation of a function
is efficient, even in a case where a parameter or return value is a complex object.
Mutable Parameters
Python’s parameter passing model has additional implications when a parameter is
a mutable object. Because the formal parameter is an alias for the actual parameter,
the body of the function may interact with the object in ways that change its state.
Considering again our sample invocation of the count function, if the body of the
function executes the command data.append( F ), the new entry is added to the
end of the list identified as data within the function, which is one and the same as
the list known to the caller as grades. As an aside, we note that reassigning a new
value to a formal parameter with a function body, such as by setting data = [ ],
does not alter the actual parameter; such a reassignment simply breaks the alias.
Our hypothetical example of a count method that appends a new element to a
list lacks common sense. There is no reason to expect such a behavior, and it would
be quite a poor design to have such an unexpected effect on the parameter. There
are, however, many legitimate cases in which a function may be designed (and
clearly documented) to modify the state of a parameter. As a concrete example,
we present the following implementation of a method named scale that’s primary
purpose is to multiply all entries of a numeric data set by a given factor.
def scale(data, factor):
for j in range(len(data)):
data[j] = factor
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Chapter 1. Python Primer
26
Default Parameter Values
Python provides means for functions to support more than one possible calling
signature. Such a function is said to be polymorphic (which is Greek for “many
forms”). Most notably, functions can declare one or more default values for parameters, thereby allowing the caller to invoke a function with varying numbers of
actual parameters. As an artificial example, if a function is declared with signature
def foo(a, b=15, c=27):
there are three parameters, the last two of which offer default values. A caller is
welcome to send three actual parameters, as in foo(4, 12, 8), in which case the default values are not used. If, on the other hand, the caller only sends one parameter,
foo(4), the function will execute with parameters values a=4, b=15, c=27. If a
caller sends two parameters, they are assumed to be the first two, with the third being the default. Thus, foo(8, 20) executes with a=8, b=20, c=27. However, it is
illegal to define a function with a signature such as bar(a, b=15, c) with b having
a default value, yet not the subsequent c; if a default parameter value is present for
one parameter, it must be present for all further parameters.
As a more motivating example for the use of a default parameter, we revisit
the task of computing a student’s GPA (see Code Fragment 1.1). Rather than assume direct input and output with the console, we prefer to design a function that
computes and returns a GPA. Our original implementation uses a fixed mapping
from each letter grade (such as a B−) to a corresponding point value (such as
2.67). While that point system is somewhat common, it may not agree with the
system used by all schools. (For example, some may assign an A+ grade a value
higher than 4.0.) Therefore, we design a compute gpa function, given in Code
Fragment 1.2, which allows the caller to specify a custom mapping from grades to
values, while offering the standard point system as a default.
def compute gpa(grades, points={ A+ :4.0, A :4.0, A- :3.67, B+ :3.33,
B :3.0, B- :2.67, C+ :2.33, C :2.0,
C :1.67, D+ :1.33, D :1.0, F :0.0}):
num courses = 0
total points = 0
for g in grades:
if g in points:
# a recognizable grade
num courses += 1
total points += points[g]
return total points / num courses
Code Fragment 1.2: A function that computes a student’s GPA with a point value
system that can be customized as an optional parameter.
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1.5. Functions
27
As an additional example of an interesting polymorphic function, we consider
Python’s support for range. (Technically, this is a constructor for the range class,
but for the sake of this discussion, we can treat it as a pure function.) Three calling
syntaxes are supported. The one-parameter form, range(n), generates a sequence of
integers from 0 up to but not including n. A two-parameter form, range(start,stop)
generates integers from start up to, but not including, stop. A three-parameter
form, range(start, stop, step), generates a similar range as range(start, stop), but
with increments of size step rather than 1.
This combination of forms seems to violate the rules for default parameters.
In particular, when a single parameter is sent, as in range(n), it serves as the stop
value (which is the second parameter); the value of start is effectively 0 in that
case. However, this effect can be achieved with some sleight of hand, as follows:
def range(start, stop=None, step=1):
if stop is None:
stop = start
start = 0
...
From a technical perspective, when range(n) is invoked, the actual parameter n will
be assigned to formal parameter start. Within the body, if only one parameter is
received, the start and stop values are reassigned to provide the desired semantics.
Keyword Parameters
The traditional mechanism for matching the actual parameters sent by a caller, to
the formal parameters declared by the function signature is based on the concept
of positional arguments. For example, with signature foo(a=10, b=20, c=30),
parameters sent by the caller are matched, in the given order, to the formal parameters. An invocation of foo(5) indicates that a=5, while b and c are assigned their
default values.
Python supports an alternate mechanism for sending a parameter to a function
known as a keyword argument. A keyword argument is specified by explicitly
assigning an actual parameter to a formal parameter by name. For example, with
the above definition of function foo, a call foo(c=5) will invoke the function with
parameters a=10, b=20, c=5.
A function’s author can require that certain parameters be sent only through the
keyword-argument syntax. We never place such a restriction in our own function
definitions, but we will see several important uses of keyword-only parameters in
Python’s standard libraries. As an example, the built-in max function accepts a
keyword parameter, coincidentally named key, that can be used to vary the notion
of “maximum” that is used.
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Chapter 1. Python Primer
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By default, max operates based upon the natural order of elements according
to the < operator for that type. But the maximum can be computed by comparing
some other aspect of the elements. This is done by providing an auxiliary function
that converts a natural element to some other value for the sake of comparison.
For example, if we are interested in finding a numeric value with magnitude that is
maximal (i.e., considering −35 to be larger than +20), we can use the calling syntax max(a, b, key=abs). In this case, the built-in abs function is itself sent as the
value associated with the keyword parameter key. (Functions are first-class objects
in Python; see Section 1.10.) When max is called in this way, it will compare abs(a)
to abs(b), rather than a to b. The motivation for the keyword syntax as an alternate
to positional arguments is important in the case of max. This function is polymorphic in the number of arguments, allowing a call such as max(a,b,c,d); therefore,
it is not possible to designate a key function as a traditional positional element.
Sorting functions in Python also support a similar key parameter for indicating a
nonstandard order. (We explore this further in Section 9.4 and in Section 12.6.1,
when discussing sorting algorithms).
1.5.2 Python’s Built-In Functions
Table 1.4 provides an overview of common functions that are automatically available in Python, including the previously discussed abs, max, and range. When
choosing names for the parameters, we use identifiers x, y, z for arbitrary numeric
types, k for an integer, and a, b, and c for arbitrary comparable types. We use
the identifier, iterable, to represent an instance of any iterable type (e.g., str, list,
tuple, set, dict); we will discuss iterators and iterable data types in Section 1.8.
A sequence represents a more narrow category of indexable classes, including str,
list, and tuple, but neither set nor dict. Most of the entries in Table 1.4 can be
categorized according to their functionality as follows:
Input/Output: print, input, and open will be more fully explained in Section 1.6.
Character Encoding: ord and chr relate characters and their integer code points.
For example, ord( A ) is 65 and chr(65) is A .
Mathematics: abs, divmod, pow, round, and sum provide common mathematical
functionality; an additional math module will be introduced in Section 1.11.
Ordering: max and min apply to any data type that supports a notion of comparison, or to any collection of such values. Likewise, sorted can be used to produce
an ordered list of elements drawn from any existing collection.
Collections/Iterations: range generates a new sequence of numbers; len reports
the length of any existing collection; functions reversed, all, any, and map operate on arbitrary iterations as well; iter and next provide a general framework for
iteration through elements of a collection, and are discussed in Section 1.8.
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1.5. Functions
29
Calling Syntax
abs(x)
all(iterable)
any(iterable)
chr(integer)
divmod(x, y)
hash(obj)
id(obj)
input(prompt)
isinstance(obj, cls)
iter(iterable)
len(iterable)
map(f, iter1, iter2, ...)
max(iterable)
max(a, b, c, ...)
min(iterable)
min(a, b, c, ...)
next(iterator)
open(filename, mode)
ord(char)
pow(x, y)
pow(x, y, z)
print(obj1, obj2, ...)
range(stop)
range(start, stop)
range(start, stop, step)
reversed(sequence)
round(x)
round(x, k)
sorted(iterable)
sum(iterable)
type(obj)
Common Built-In Functions
Description
Return the absolute value of a number.
Return True if bool(e) is True for each element e.
Return True if bool(e) is True for at least one element e.
Return a one-character string with the given Unicode code point.
Return (x // y, x % y) as tuple, if x and y are integers.
Return an integer hash value for the object (see Chapter 10).
Return the unique integer serving as an “identity” for the object.
Return a string from standard input; the prompt is optional.
Determine if obj is an instance of the class (or a subclass).
Return a new iterator object for the parameter (see Section 1.8).
Return the number of elements in the given iteration.
Return an iterator yielding the result of function calls f(e1, e2, ...)
for respective elements e1 ∈ iter1, e2 ∈ iter2, ...
Return the largest element of the given iteration.
Return the largest of the arguments.
Return the smallest element of the given iteration.
Return the smallest of the arguments.
Return the next element reported by the iterator (see Section 1.8).
Open a file with the given name and access mode.
Return the Unicode code point of the given character.
Return the value xy (as an integer if x and y are integers);
equivalent to x
y.
Return the value (xy mod z) as an integer.
Print the arguments, with separating spaces and trailing newline.
Construct an iteration of values 0, 1, . . . , stop − 1.
Construct an iteration of values start, start + 1, . . . , stop − 1.
Construct an iteration of values start, start + step, start + 2 step, . . .
Return an iteration of the sequence in reverse.
Return the nearest int value (a tie is broken toward the even value).
Return the value rounded to the nearest 10−k (return-type matches x).
Return a list containing elements of the iterable in sorted order.
Return the sum of the elements in the iterable (must be numeric).
Return the class to which the instance obj belongs.
Table 1.4: Commonly used built-in function in Python.
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1.6
Simple Input and Output
In this section, we address the basics of input and output in Python, describing standard input and output through the user console, and Python’s support for reading
and writing text files.
1.6.1 Console Input and Output
The print Function
The built-in function, print, is used to generate standard output to the console.
In its simplest form, it prints an arbitrary sequence of arguments, separated by
spaces, and followed by a trailing newline character. For example, the command
print( maroon , 5) outputs the string maroon 5\n . Note that arguments need
not be string instances. A nonstring argument x will be displayed as str(x). Without
any arguments, the command print( ) outputs a single newline character.
The print function can be customized through the use of the following keyword
parameters (see Section 1.5 for a discussion of keyword parameters):
• By default, the print function inserts a separating space into the output between each pair of arguments. The separator can be customized by providing
a desired separating string as a keyword parameter, sep. For example, colonseparated output can be produced as print(a, b, c, sep= : ). The separating
string need not be a single character; it can be a longer string, and it can be
the empty string, sep= , causing successive arguments to be directly concatenated.
• By default, a trailing newline is output after the final argument. An alternative trailing string can be designated using a keyword parameter, end. Designating the empty string end= suppresses all trailing characters.
• By default, the print function sends its output to the standard console. However, output can be directed to a file by indicating an output file stream (see
Section 1.6.2) using file as a keyword parameter.
The input Function
The primary means for acquiring information from the user console is a built-in
function named input. This function displays a prompt, if given as an optional parameter, and then waits until the user enters some sequence of characters followed
by the return key. The formal return value of the function is the string of characters
that were entered strictly before the return key (i.e., no newline character exists in
the returned string).
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When reading a numeric value from the user, a programmer must use the input
function to get the string of characters, and then use the int or float syntax to
construct the numeric value that character string represents. That is, if a call to
response = input( ) reports that the user entered the characters, 2013 , the syntax
int(response) could be used to produce the integer value 2013. It is quite common
to combine these operations with a syntax such as
year = int(input( In what year were you born?
))
if we assume that the user will enter an appropriate response. (In Section 1.7 we
discuss error handling in such a situation.)
Because input returns a string as its result, use of that function can be combined
with the existing functionality of the string class, as described in Appendix A. For
example, if the user enters multiple pieces of information on the same line, it is
common to call the split method on the result, as in
reply = input( Enter x and y, separated by spaces: )
pieces = reply.split( )
# returns a list of strings, as separated by spaces
x = float(pieces[0])
y = float(pieces[1])
A Sample Program
Here is a simple, but complete, program that demonstrates the use of the input
and print functions. The tools for formatting the final output is discussed in Appendix A.
age = int(input( Enter your age in years: ))
max heart rate = 206.9 − (0.67 age) # as per Med Sci Sports Exerc.
target = 0.65 max heart rate
print( Your target fat-burning heart rate is , target)
1.6.2 Files
Files are typically accessed in Python beginning with a call to a built-in function,
named open, that returns a proxy for interactions with the underlying file. For
example, the command, fp = open( sample.txt ), attempts to open a file named
sample.txt, returning a proxy that allows read-only access to the text file.
The open function accepts an optional second parameter that determines the
access mode. The default mode is r for reading. Other common modes are w
for writing to the file (causing any existing file with that name to be overwritten),
or a for appending to the end of an existing file. Although we focus on use of
text files, it is possible to work with binary files, using access modes such as rb
or wb .
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When processing a file, the proxy maintains a current position within the file as
an offset from the beginning, measured in number of bytes. When opening a file
with mode r or w , the position is initially 0; if opened in append mode, a ,
the position is initially at the end of the file. The syntax fp.close( ) closes the file
associated with proxy fp, ensuring that any written contents are saved. A summary
of methods for reading and writing a file is given in Table 1.5
Calling Syntax
fp.read( )
fp.read(k)
fp.readline( )
fp.readlines( )
for line in fp:
fp.seek(k)
fp.tell( )
fp.write(string)
fp.writelines(seq)
print(..., file=fp)
Description
Return the (remaining) contents of a readable file as a string.
Return the next k bytes of a readable file as a string.
Return (remainder of ) the current line of a readable file as a string.
Return all (remaining) lines of a readable file as a list of strings.
Iterate all (remaining) lines of a readable file.
Change the current position to be at the kth byte of the file.
Return the current position, measured as byte-offset from the start.
Write given string at current position of the writable file.
Write each of the strings of the given sequence at the current
position of the writable file. This command does not insert
any newlines, beyond those that are embedded in the strings.
Redirect output of print function to the file.
Table 1.5: Behaviors for interacting with a text file via a file proxy (named fp).
Reading from a File
The most basic command for reading via a proxy is the read method. When invoked
on file proxy fp, as fp.read(k), the command returns a string representing the next k
bytes of the file, starting at the current position. Without a parameter, the syntax
fp.read( ) returns the remaining contents of the file in entirety. For convenience,
files can be read a line at a time, using the readline method to read one line, or
the readlines method to return a list of all remaining lines. Files also support the
for-loop syntax, with iteration being line by line (e.g., for line in fp:).
Writing to a File
When a file proxy is writable, for example, if created with access mode w or
a , text can be written using methods write or writelines. For example, if we define fp = open( results.txt , w ), the syntax fp.write( Hello World.\n )
writes a single line to the file with the given string. Note well that write does not
explicitly add a trailing newline, so desired newline characters must be embedded
directly in the string parameter. Recall that the output of the print method can be
redirected to a file using a keyword parameter, as described in Section 1.6.
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1.7. Exception Handling
1.7
33
Exception Handling
Exceptions are unexpected events that occur during the execution of a program.
An exception might result from a logical error or an unanticipated situation. In
Python, exceptions (also known as errors) are objects that are raised (or thrown) by
code that encounters an unexpected circumstance. The Python interpreter can also
raise an exception should it encounter an unexpected condition, like running out of
memory. A raised error may be caught by a surrounding context that “handles” the
exception in an appropriate fashion. If uncaught, an exception causes the interpreter
to stop executing the program and to report an appropriate message to the console.
In this section, we examine the most common error types in Python, the mechanism
for catching and handling errors that have been raised, and the syntax for raising
errors from within user-defined blocks of code.
Common Exception Types
Python includes a rich hierarchy of exception classes that designate various categories of errors; Table 1.6 shows many of those classes. The Exception class serves
as a base class for most other error types. An instance of the various subclasses
encodes details about a problem that has occurred. Several of these errors may be
raised in exceptional cases by behaviors introduced in this chapter. For example,
use of an undefined identifier in an expression causes a NameError, and errant use
of the dot notation, as in foo.bar( ), will generate an AttributeError if object foo
does not support a member named bar.
Class
Exception
AttributeError
EOFError
IOError
IndexError
KeyError
KeyboardInterrupt
NameError
StopIteration
TypeError
ValueError
ZeroDivisionError
Description
A base class for most error types
Raised by syntax obj.foo, if obj has no member named foo
Raised if “end of file” reached for console or file input
Raised upon failure of I/O operation (e.g., opening file)
Raised if index to sequence is out of bounds
Raised if nonexistent key requested for set or dictionary
Raised if user types ctrl-C while program is executing
Raised if nonexistent identifier used
Raised by next(iterator) if no element; see Section 1.8
Raised when wrong type of parameter is sent to a function
Raised when parameter has invalid value (e.g., sqrt(−5))
Raised when any division operator used with 0 as divisor
Table 1.6: Common exception classes in Python
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Sending the wrong number, type, or value of parameters to a function is another
common cause for an exception. For example, a call to abs( hello ) will raise a
TypeError because the parameter is not numeric, and a call to abs(3, 5) will raise
a TypeError because one parameter is expected. A ValueError is typically raised
when the correct number and type of parameters are sent, but a value is illegitimate
for the context of the function. For example, the int constructor accepts a string,
as with int( 137 ), but a ValueError is raised if that string does not represent an
integer, as with int( 3.14 ) or int( hello ).
Python’s sequence types (e.g., list, tuple, and str) raise an IndexError when
syntax such as data[k] is used with an integer k that is not a valid index for the given
sequence (as described in Section 1.2.3). Sets and dictionaries raise a KeyError
when an attempt is made to access a nonexistent element.
1.7.1 Raising an Exception
An exception is thrown by executing the raise statement, with an appropriate instance of an exception class as an argument that designates the problem. For example, if a function for computing a square root is sent a negative value as a parameter,
it can raise an exception with the command:
raise ValueError( x cannot be negative )
This syntax raises a newly created instance of the ValueError class, with the error
message serving as a parameter to the constructor. If this exception is not caught
within the body of the function, the execution of the function immediately ceases
and the exception is propagated to the calling context (and possibly beyond).
When checking the validity of parameters sent to a function, it is customary
to first verify that a parameter is of an appropriate type, and then to verify that it
has an appropriate value. For example, the sqrt function in Python’s math library
performs error-checking that might be implemented as follows:
def sqrt(x):
if not isinstance(x, (int, float)):
raise TypeError( x must be numeric )
elif x < 0:
raise ValueError( x cannot be negative )
# do the real work here...
Checking the type of an object can be performed at run-time using the built-in
function, isinstance. In simplest form, isinstance(obj, cls) returns True if object,
obj, is an instance of class, cls, or any subclass of that type. In the above example, a
more general form is used with a tuple of allowable types indicated with the second
parameter. After confirming that the parameter is numeric, the function enforces
an expectation that the number be nonnegative, raising a ValueError otherwise.
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How much error-checking to perform within a function is a matter of debate.
Checking the type and value of each parameter demands additional execution time
and, if taken to an extreme, seems counter to the nature of Python. Consider the
built-in sum function, which computes a sum of a collection of numbers. An implementation with rigorous error-checking might be written as follows:
def sum(values):
if not isinstance(values, collections.Iterable):
raise TypeError( parameter must be an iterable type )
total = 0
for v in values:
if not isinstance(v, (int, float)):
raise TypeError( elements must be numeric )
total = total+ v
return total
The abstract base class, collections.Iterable, includes all of Python’s iterable containers types that guarantee support for the for-loop syntax (e.g., list, tuple, set);
we discuss iterables in Section 1.8, and the use of modules, such as collections, in
Section 1.11. Within the body of the for loop, each element is verified as numeric
before being added to the total. A far more direct and clear implementation of this
function can be written as follows:
def sum(values):
total = 0
for v in values:
total = total + v
return total
Interestingly, this simple implementation performs exactly like Python’s built-in
version of the function. Even without the explicit checks, appropriate exceptions
are raised naturally by the code. In particular, if values is not an iterable type, the
attempt to use the for-loop syntax raises a TypeError reporting that the object is not
iterable. In the case when a user sends an iterable type that includes a nonnumerical element, such as sum([3.14, oops ]), a TypeError is naturally raised by the
evaluation of expression total + v. The error message
unsupported operand type(s) for +: ’float’ and ’str’
should be sufficiently informative to the caller. Perhaps slightly less obvious is the
error that results from sum([ alpha , beta ]). It will technically report a failed
attempt to add an int and str, due to the initial evaluation of total + alpha ,
when total has been initialized to 0.
In the remainder of this book, we tend to favor the simpler implementations
in the interest of clean presentation, performing minimal error-checking in most
situations.
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1.7.2 Catching an Exception
There are several philosophies regarding how to cope with possible exceptional
cases when writing code. For example, if a division x/y is to be computed, there
is clear risk that a ZeroDivisionError will be raised when variable y has value 0. In
an ideal situation, the logic of the program may dictate that y has a nonzero value,
thereby removing the concern for error. However, for more complex code, or in
a case where the value of y depends on some external input to the program, there
remains some possibility of an error.
One philosophy for managing exceptional cases is to “look before you leap.”
The goal is to entirely avoid the possibility of an exception being raised through
the use of a proactive conditional test. Revisiting our division example, we might
avoid the offending situation by writing:
if y != 0:
ratio = x / y
else:
... do something else ...
A second philosophy, often embraced by Python programmers, is that “it is
easier to ask for forgiveness than it is to get permission.” This quote is attributed
to Grace Hopper, an early pioneer in computer science. The sentiment is that we
need not spend extra execution time safeguarding against every possible exceptional case, as long as there is a mechanism for coping with a problem after it
arises. In Python, this philosophy is implemented using a try-except control structure. Revising our first example, the division operation can be guarded as follows:
try:
ratio = x / y
except ZeroDivisionError:
... do something else ...
In this structure, the “try” block is the primary code to be executed. Although it
is a single command in this example, it can more generally be a larger block of
indented code. Following the try-block are one or more “except” cases, each with
an identified error type and an indented block of code that should be executed if the
designated error is raised within the try-block.
The relative advantage of using a try-except structure is that the non-exceptional
case runs efficiently, without extraneous checks for the exceptional condition. However, handling the exceptional case requires slightly more time when using a tryexcept structure than with a standard conditional statement. For this reason, the
try-except clause is best used when there is reason to believe that the exceptional
case is relatively unlikely, or when it is prohibitively expensive to proactively evaluate a condition to avoid the exception.
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Exception handling is particularly useful when working with user input, or
when reading from or writing to files, because such interactions are inherently less
predictable. In Section 1.6.2, we suggest the syntax, fp = open( sample.txt ),
for opening a file with read access. That command may raise an IOError for a variety of reasons, such as a non-existent file, or lack of sufficient privilege for opening
a file. It is significantly easier to attempt the command and catch the resulting error
than it is to accurately predict whether the command will succeed.
We continue by demonstrating a few other forms of the try-except syntax. Exceptions are objects that can be examined when caught. To do so, an identifier must
be established with a syntax as follows:
try:
fp = open( sample.txt )
except IOError as e:
print( Unable to open the file: , e)
In this case, the name, e, denotes the instance of the exception that was thrown, and
printing it causes a detailed error message to be displayed (e.g., “file not found”).
A try-statement may handle more than one type of exception. For example,
consider the following command from Section 1.6.1:
age = int(input( Enter your age in years:
))
This command could fail for a variety of reasons. The call to input will raise an
EOFError if the console input fails. If the call to input completes successfully, the
int constructor raises a ValueError if the user has not entered characters representing a valid integer. If we want to handle two or more types of errors in the same
way, we can use a single except-statement, as in the following example:
age = −1
# an initially invalid choice
while age <= 0:
try:
age = int(input( Enter your age in years: ))
if age <= 0:
print( Your age must be positive )
except (ValueError, EOFError):
print( Invalid response )
We use the tuple, (ValueError, EOFError), to designate the types of errors that we
wish to catch with the except-clause. In this implementation, we catch either error,
print a response, and continue with another pass of the enclosing while loop. We
note that when an error is raised within the try-block, the remainder of that body
is immediately skipped. In this example, if the exception arises within the call to
input, or the subsequent call to the int constructor, the assignment to age never
occurs, nor the message about needing a positive value. Because the value of age
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will be unchanged, the while loop will continue. If we preferred to have the while
loop continue without printing the Invalid response message, we could have
written the exception-clause as
except (ValueError, EOFError):
pass
The keyword, pass, is a statement that does nothing, yet it can serve syntactically
as a body of a control structure. In this way, we quietly catch the exception, thereby
allowing the surrounding while loop to continue.
In order to provide different responses to different types of errors, we may use
two or more except-clauses as part of a try-structure. In our previous example, an
EOFError suggests a more insurmountable error than simply an errant value being
entered. In that case, we might wish to provide a more specific error message, or
perhaps to allow the exception to interrupt the loop and be propagated to a higher
context. We could implement such behavior as follows:
age = −1
# an initially invalid choice
while age <= 0:
try:
age = int(input( Enter your age in years: ))
if age <= 0:
print( Your age must be positive )
except ValueError:
print( That is an invalid age specification )
except EOFError:
print( There was an unexpected error reading input. )
raise
# let s re-raise this exception
In this implementation, we have separate except-clauses for the ValueError and
EOFError cases. The body of the clause for handling an EOFError relies on another
technique in Python. It uses the raise statement without any subsequent argument,
to re-raise the same exception that is currently being handled. This allows us to
provide our own response to the exception, and then to interrupt the while loop and
propagate the exception upward.
In closing, we note two additional features of try-except structures in Python.
It is permissible to have a final except-clause without any identified error types,
using syntax except:, to catch any other exceptions that occurred. However, this
technique should be used sparingly, as it is difficult to suggest how to handle an
error of an unknown type. A try-statement can have a finally clause, with a body of
code that will always be executed in the standard or exceptional cases, even when
an uncaught or re-raised exception occurs. That block is typically used for critical
cleanup work, such as closing an open file.
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39
Iterators and Generators
In Section 1.4.2, we introduced the for-loop syntax beginning as:
for element in iterable:
and we noted that there are many types of objects in Python that qualify as being
iterable. Basic container types, such as list, tuple, and set, qualify as iterable types.
Furthermore, a string can produce an iteration of its characters, a dictionary can
produce an iteration of its keys, and a file can produce an iteration of its lines. Userdefined types may also support iteration. In Python, the mechanism for iteration is
based upon the following conventions:
• An iterator is an object that manages an iteration through a series of values. If
variable, i, identifies an iterator object, then each call to the built-in function,
next(i), produces a subsequent element from the underlying series, with a
StopIteration exception raised to indicate that there are no further elements.
• An iterable is an object, obj, that produces an iterator via the syntax iter(obj).
By these definitions, an instance of a list is an iterable, but not itself an iterator.
With data = [1, 2, 4, 8], it is not legal to call next(data). However, an iterator
object can be produced with syntax, i = iter(data), and then each subsequent call
to next(i) will return an element of that list. The for-loop syntax in Python simply
automates this process, creating an iterator for the give iterable, and then repeatedly
calling for the next element until catching the StopIteration exception.
More generally, it is possible to create multiple iterators based upon the same
iterable object, with each iterator maintaining its own state of progress. However,
iterators typically maintain their state with indirect reference back to the original
collection of elements. For example, calling iter(data) on a list instance produces
an instance of the list iterator class. That iterator does not store its own copy of the
list of elements. Instead, it maintains a current index into the original list, representing the next element to be reported. Therefore, if the contents of the original list
are modified after the iterator is constructed, but before the iteration is complete,
the iterator will be reporting the updated contents of the list.
Python also supports functions and classes that produce an implicit iterable series of values, that is, without constructing a data structure to store all of its values
at once. For example, the call range(1000000) does not return a list of numbers; it
returns a range object that is iterable. This object generates the million values one
at a time, and only as needed. Such a lazy evaluation technique has great advantage. In the case of range, it allows a loop of the form, for j in range(1000000):,
to execute without setting aside memory for storing one million values. Also, if
such a loop were to be interrupted in some fashion, no time will have been spent
computing unused values of the range.
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We see lazy evaluation used in many of Python’s libraries. For example, the
dictionary class supports methods keys( ), values( ), and items( ), which respectively produce a “view” of all keys, values, or (key,value) pairs within a dictionary.
None of these methods produces an explicit list of results. Instead, the views that
are produced are iterable objects based upon the actual contents of the dictionary.
An explicit list of values from such an iteration can be immediately constructed by
calling the list class constructor with the iteration as a parameter. For example, the
syntax list(range(1000)) produces a list instance with values from 0 to 999, while
the syntax list(d.values( )) produces a list that has elements based upon the current
values of dictionary d. We can similarly construct a tuple or set instance based
upon a given iterable.
Generators
In Section 2.3.4, we will explain how to define a class whose instances serve as
iterators. However, the most convenient technique for creating iterators in Python
is through the use of generators. A generator is implemented with a syntax that
is very similar to a function, but instead of returning values, a yield statement is
executed to indicate each element of the series. As an example, consider the goal
of determining all factors of a positive integer. For example, the number 100 has
factors 1, 2, 4, 5, 10, 20, 25, 50, 100. A traditional function might produce and
return a list containing all factors, implemented as:
def factors(n):
results = [ ]
for k in range(1,n+1):
if n % k == 0:
results.append(k)
return results
# traditional function that computes factors
# store factors in a new list
# divides evenly, thus k is a factor
# add k to the list of factors
# return the entire list
In contrast, an implementation of a generator for computing those factors could be
implemented as follows:
def factors(n):
for k in range(1,n+1):
if n % k == 0:
yield k
# generator that computes factors
# divides evenly, thus k is a factor
# yield this factor as next result
Notice use of the keyword yield rather than return to indicate a result. This indicates to Python that we are defining a generator, rather than a traditional function. It
is illegal to combine yield and return statements in the same implementation, other
than a zero-argument return statement to cause a generator to end its execution. If
a programmer writes a loop such as for factor in factors(100):, an instance of our
generator is created. For each iteration of the loop, Python executes our procedure
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1.8. Iterators and Generators
41
until a yield statement indicates the next value. At that point, the procedure is temporarily interrupted, only to be resumed when another value is requested. When
the flow of control naturally reaches the end of our procedure (or a zero-argument
return statement), a StopIteration exception is automatically raised. Although this
particular example uses a single yield statement in the source code, a generator can
rely on multiple yield statements in different constructs, with the generated series
determined by the natural flow of control. For example, we can greatly improve
the efficiency of our generator for computing factors of a number, n, by only testing values up to the square root of that number, while reporting the factor n//k
that is associated with each k (unless n//k equals k). We might implement such a
generator as follows:
def factors(n):
k=1
while k k < n:
if n % k == 0:
yield k
yield n // k
k += 1
if k k == n:
yield k
# generator that computes factors
# while k < sqrt(n)
# special case if n is perfect square
We should note that this generator differs from our first version in that the factors
are not generated in strictly increasing order. For example, factors(100) generates
the series 1, 100, 2, 50, 4, 25, 5, 20, 10.
In closing, we wish to emphasize the benefits of lazy evaluation when using a
generator rather than a traditional function. The results are only computed if requested, and the entire series need not reside in memory at one time. In fact, a
generator can effectively produce an infinite series of values. As an example, the
Fibonacci numbers form a classic mathematical sequence, starting with value 0,
then value 1, and then each subsequent value being the sum of the two preceding
values. Hence, the Fibonacci series begins as: 0, 1, 1, 2, 3, 5, 8, 13, . . .. The following generator produces this infinite series.
def fibonacci( ):
a=0
b=1
while True:
yield a
future = a + b
a=b
b = future
# keep going...
# report value, a, during this pass
# this will be next value reported
# and subsequently this
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1.9
Additional Python Conveniences
In this section, we introduce several features of Python that are particularly convenient for writing clean, concise code. Each of these syntaxes provide functionality
that could otherwise be accomplished using functionality that we have introduced
earlier in this chapter. However, at times, the new syntax is a more clear and direct
expression of the logic.
1.9.1 Conditional Expressions
Python supports a conditional expression syntax that can replace a simple control
structure. The general syntax is an expression of the form:
expr1 if condition else expr2
This compound expression evaluates to expr1 if the condition is true, and otherwise
evaluates to expr2. For those familiar with Java or C++, this is equivalent to the
syntax, condition ? expr1 : expr2, in those languages.
As an example, consider the goal of sending the absolute value of a variable, n,
to a function (and without relying on the built-in abs function, for the sake of example). Using a traditional control structure, we might accomplish this as follows:
if n >= 0:
param = n
else:
param = −n
result = foo(param)
# call the function
With the conditional expression syntax, we can directly assign a value to variable,
param, as follows:
param = n if n >= 0 else −n
result = foo(param)
# pick the appropriate value
# call the function
In fact, there is no need to assign the compound expression to a variable. A conditional expression can itself serve as a parameter to the function, written as follows:
result = foo(n if n >= 0 else −n)
Sometimes, the mere shortening of source code is advantageous because it
avoids the distraction of a more cumbersome control structure. However, we recommend that a conditional expression be used only when it improves the readability
of the source code, and when the first of the two options is the more “natural” case,
given its prominence in the syntax. (We prefer to view the alternative value as more
exceptional.)
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1.9.2 Comprehension Syntax
A very common programming task is to produce one series of values based upon
the processing of another series. Often, this task can be accomplished quite simply
in Python using what is known as a comprehension syntax. We begin by demonstrating list comprehension, as this was the first form to be supported by Python.
Its general form is as follows:
[ expression for value in iterable if condition ]
We note that both expression and condition may depend on value, and that the
if-clause is optional. The evaluation of the comprehension is logically equivalent
to the following traditional control structure for computing a resulting list:
result = [ ]
for value in iterable:
if condition:
result.append(expression)
As a concrete example, a list of the squares of the numbers from 1 to n, that is
[1, 4, 9, 16, 25, . . . , n2 ], can be created by traditional means as follows:
squares = [ ]
for k in range(1, n+1):
squares.append(k k)
With list comprehension, this logic is expressed as follows:
squares = [k k for k in range(1, n+1)]
As a second example, Section 1.8 introduced the goal of producing a list of factors
for an integer n. That task is accomplished with the following list comprehension:
factors = [k for k in range(1,n+1) if n % k == 0]
Python supports similar comprehension syntaxes that respectively produce a
set, generator, or dictionary. We compare those syntaxes using our example for
producing the squares of numbers.
[ k k for k in range(1, n+1) ]
{ k k for k in range(1, n+1) }
( k k for k in range(1, n+1) )
{ k : k k for k in range(1, n+1) }
list comprehension
set comprehension
generator comprehension
dictionary comprehension
The generator syntax is particularly attractive when results do not need to be stored
in memory. For example, to compute the sum of the first n squares, the generator syntax, total = sum(k k for k in range(1, n+1)), is preferred to the use of an
explicitly instantiated list comprehension as the parameter.
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1.9.3 Packing and Unpacking of Sequences
Python provides two additional conveniences involving the treatment of tuples and
other sequence types. The first is rather cosmetic. If a series of comma-separated
expressions are given in a larger context, they will be treated as a single tuple, even
if no enclosing parentheses are provided. For example, the assignment
data = 2, 4, 6, 8
results in identifier, data, being assigned to the tuple (2, 4, 6, 8). This behavior
is called automatic packing of a tuple. One common use of packing in Python is
when returning multiple values from a function. If the body of a function executes
the command,
return x, y
it will be formally returning a single object that is the tuple (x, y).
As a dual to the packing behavior, Python can automatically unpack a sequence, allowing one to assign a series of individual identifiers to the elements
of sequence. As an example, we can write
a, b, c, d = range(7, 11)
which has the effect of assigning a=7, b=8, c=9, and d=10, as those are the four
values in the sequence returned by the call to range. For this syntax, the right-hand
side expression can be any iterable type, as long as the number of variables on the
left-hand side is the same as the number of elements in the iteration.
This technique can be used to unpack tuples returned by a function. For example, the built-in function, divmod(a, b), returns the pair of values (a // b, a % b)
associated with an integer division. Although the caller can consider the return
value to be a single tuple, it is possible to write
quotient, remainder = divmod(a, b)
to separately identify the two entries of the returned tuple. This syntax can also be
used in the context of a for loop, when iterating over a sequence of iterables, as in
for x, y in [ (7, 2), (5, 8), (6, 4) ]:
In this example, there will be three iterations of the loop. During the first pass, x=7
and y=2, and so on. This style of loop is quite commonly used to iterate through
key-value pairs that are returned by the items( ) method of the dict class, as in:
for k, v in mapping.items( ):
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Simultaneous Assignments
The combination of automatic packing and unpacking forms a technique known
as simultaneous assignment, whereby we explicitly assign a series of values to a
series of identifiers, using a syntax:
x, y, z = 6, 2, 5
In effect, the right-hand side of this assignment is automatically packed into a tuple,
and then automatically unpacked with its elements assigned to the three identifiers
on the left-hand side.
When using a simultaneous assignment, all of the expressions are evaluated
on the right-hand side before any of the assignments are made to the left-hand
variables. This is significant, as it provides a convenient means for swapping the
values associated with two variables:
j, k = k, j
With this command, j will be assigned to the old value of k, and k will be assigned
to the old value of j. Without simultaneous assignment, a swap typically requires
more delicate use of a temporary variable, such as
temp = j
j=k
k = temp
With the simultaneous assignment, the unnamed tuple representing the packed values on the right-hand side implicitly serves as the temporary variable when performing such a swap.
The use of simultaneous assignments can greatly simplify the presentation of
code. As an example, we reconsider the generator on page 41 that produces the
Fibonacci series. The original code requires separate initialization of variables a
and b to begin the series. Within each pass of the loop, the goal was to reassign a
and b, respectively, to the values of b and a+b. At the time, we accomplished this
with brief use of a third variable. With simultaneous assignments, that generator
can be implemented more directly as follows:
def fibonacci( ):
a, b = 0, 1
while True:
yield a
a, b = b, a+b
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1.10
Scopes and Namespaces
When computing a sum with the syntax x + y in Python, the names x and y must
have been previously associated with objects that serve as values; a NameError
will be raised if no such definitions are found. The process of determining the
value associated with an identifier is known as name resolution.
Whenever an identifier is assigned to a value, that definition is made with a
specific scope. Top-level assignments are typically made in what is known as global
scope. Assignments made within the body of a function typically have scope that is
local to that function call. Therefore, an assignment, x = 5, within a function has
no effect on the identifier, x, in the broader scope.
Each distinct scope in Python is represented using an abstraction known as a
namespace. A namespace manages all identifiers that are currently defined in a
given scope. Figure 1.8 portrays two namespaces, one being that of a caller to our
count function from Section 1.5, and the other being the local namespace during
the execution of that function.
str
float
3.56
A
gpa
grades
str
major
list
n
target
data
int
2
item
CS
str
str
str
A-
B+
A-
Figure 1.8: A portrayal of the two namespaces associated with a user’s call
count(grades, A ), as defined in Section 1.5. The left namespace is the caller’s
and the right namespace represents the local scope of the function.
Python implements a namespace with its own dictionary that maps each identifying string (e.g., n ) to its associated value. Python provides several ways to
examine a given namespace. The function, dir, reports the names of the identifiers
in a given namespace (i.e., the keys of the dictionary), while the function, vars,
returns the full dictionary. By default, calls to dir( ) and vars( ) report on the most
locally enclosing namespace in which they are executed.
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When an identifier is indicated in a command, Python searches a series of
namespaces in the process of name resolution. First, the most locally enclosing
scope is searched for a given name. If not found there, the next outer scope is
searched, and so on. We will continue our examination of namespaces, in Section 2.5, when discussing Python’s treatment of object-orientation. We will see
that each object has its own namespace to store its attributes, and that classes each
have a namespace as well.
First-Class Objects
In the terminology of programming languages, first-class objects are instances of
a type that can be assigned to an identifier, passed as a parameter, or returned by
a function. All of the data types we introduced in Section 1.2.3, such as int and
list, are clearly first-class types in Python. In Python, functions and classes are also
treated as first-class objects. For example, we could write the following:
scream = print
scream( Hello )
# assign name ’scream’ to the function denoted as ’print’
# call that function
In this case, we have not created a new function, we have simply defined scream
as an alias for the existing print function. While there is little motivation for precisely this example, it demonstrates the mechanism that is used by Python to allow one function to be passed as a parameter to another. On page 28, we noted
that the built-in function, max, accepts an optional keyword parameter to specify
a non-default order when computing a maximum. For example, a caller can use
the syntax, max(a, b, key=abs), to determine which value has the larger absolute
value. Within the body of that function, the formal parameter, key, is an identifier
that will be assigned to the actual parameter, abs.
In terms of namespaces, an assignment such as scream = print, introduces the
identifier, scream, into the current namespace, with its value being the object that
represents the built-in function, print. The same mechanism is applied when a userdefined function is declared. For example, our count function from Section 1.5
beings with the following syntax:
def count(data, target):
...
Such a declaration introduces the identifier, count, into the current namespace,
with the value being a function instance representing its implementation. In similar
fashion, the name of a newly defined class is associated with a representation of
that class as its value. (Class definitions will be introduced in the next chapter.)
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1.11
Modules and the Import Statement
We have already introduced many functions (e.g., max) and classes (e.g., list)
that are defined within Python’s built-in namespace. Depending on the version of
Python, there are approximately 130–150 definitions that were deemed significant
enough to be included in that built-in namespace.
Beyond the built-in definitions, the standard Python distribution includes perhaps tens of thousands of other values, functions, and classes that are organized in
additional libraries, known as modules, that can be imported from within a program. As an example, we consider the math module. While the built-in namespace
includes a few mathematical functions (e.g., abs, min, max, round), many more
are relegated to the math module (e.g., sin, cos, sqrt). That module also defines
approximate values for the mathematical constants, pi and e.
Python’s import statement loads definitions from a module into the current
namespace. One form of an import statement uses a syntax such as the following:
from math import pi, sqrt
This command adds both pi and sqrt, as defined in the math module, into the current namespace, allowing direct use of the identifier, pi, or a call of the function,
sqrt(2). If there are many definitions from the same module to be imported, an
asterisk may be used as a wild card, as in, from math import , but this form
should be used sparingly. The danger is that some of the names defined in the module may conflict with names already in the current namespace (or being imported
from another module), and the import causes the new definitions to replace existing
ones.
Another approach that can be used to access many definitions from the same
module is to import the module itself, using a syntax such as:
import math
Formally, this adds the identifier, math, to the current namespace, with the module
as its value. (Modules are also first-class objects in Python.) Once imported, individual definitions from the module can be accessed using a fully-qualified name,
such as math.pi or math.sqrt(2).
Creating a New Module
To create a new module, one simply has to put the relevant definitions in a file
named with a .py suffix. Those definitions can be imported from any other .py
file within the same project directory. For example, if we were to put the definition
of our count function (see Section 1.5) into a file named utility.py, we could
import that function using the syntax, from utility import count.
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1.11. Modules and the Import Statement
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It is worth noting that top-level commands with the module source code are
executed when the module is first imported, almost as if the module were its own
script. There is a special construct for embedding commands within the module
that will be executed if the module is directly invoked as a script, but not when
the module is imported from another script. Such commands should be placed in a
body of a conditional statement of the following form,
if
name
== __main__ :
Using our hypothetical utility.py module as an example, such commands will
be executed if the interpreter is started with a command python utility.py, but
not when the utility module is imported into another context. This approach is often
used to embed what are known as unit tests within the module; we will discuss unit
testing further in Section 2.2.4.
1.11.1 Existing Modules
Table 1.7 provides a summary of a few available modules that are relevant to a
study of data structures. We have already discussed the math module briefly. In the
remainder of this section, we highlight another module that is particularly important
for some of the data structures and algorithms that we will study later in this book.
Existing Modules
Module Name
array
collections
copy
heapq
math
os
random
re
sys
time
Description
Provides compact array storage for primitive types.
Defines additional data structures and abstract base classes
involving collections of objects.
Defines general functions for making copies of objects.
Provides heap-based priority queue functions (see Section 9.3.7).
Defines common mathematical constants and functions.
Provides support for interactions with the operating system.
Provides random number generation.
Provides support for processing regular expressions.
Provides additional level of interaction with the Python interpreter.
Provides support for measuring time, or delaying a program.
Table 1.7: Some existing Python modules relevant to data structures and algorithms.
Pseudo-Random Number Generation
Python’s random module provides the ability to generate pseudo-random numbers,
that is, numbers that are statistically random (but not necessarily truly random).
A pseudo-random number generator uses a deterministic formula to generate the
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next number in a sequence based upon one or more past numbers that it has generated. Indeed, a simple yet popular pseudo-random number generator chooses its
next number based solely on the most recently chosen number and some additional
parameters using the following formula.
next = (a*current + b) % n;
where a, b, and n are appropriately chosen integers. Python uses a more advanced
technique known as a Mersenne twister. It turns out that the sequences generated
by these techniques can be proven to be statistically uniform, which is usually
good enough for most applications requiring random numbers, such as games. For
applications, such as computer security settings, where one needs unpredictable
random sequences, this kind of formula should not be used. Instead, one should
ideally sample from a source that is actually random, such as radio static coming
from outer space.
Since the next number in a pseudo-random generator is determined by the previous number(s), such a generator always needs a place to start, which is called its
seed. The sequence of numbers generated for a given seed will always be the same.
One common trick to get a different sequence each time a program is run is to use
a seed that will be different for each run. For example, we could use some timed
input from a user or the current system time in milliseconds.
Python’s random module provides support for pseudo-random number generation by defining a Random class; instances of that class serve as generators with
independent state. This allows different aspects of a program to rely on their own
pseudo-random number generator, so that calls to one generator do not affect the
sequence of numbers produced by another. For convenience, all of the methods
supported by the Random class are also supported as stand-alone functions of the
random module (essentially using a single generator instance for all top-level calls).
Syntax
seed(hashable)
random( )
randint(a,b)
randrange(start, stop, step)
choice(seq)
shuffle(seq)
Description
Initializes the pseudo-random number generator
based upon the hash value of the parameter
Returns a pseudo-random floating-point
value in the interval [0.0, 1.0).
Returns a pseudo-random integer
in the closed interval [a, b].
Returns a pseudo-random integer in the standard
Python range indicated by the parameters.
Returns an element of the given sequence
chosen pseudo-randomly.
Reorders the elements of the given
sequence pseudo-randomly.
Table 1.8: Methods supported by instances of the Random class, and as top-level
functions of the random module.
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51
Exercises
For help with exercises, please visit the site, www.wiley.com/college/goodrich.
Reinforcement
R-1.1 Write a short Python function, is multiple(n, m), that takes two integer
values and returns True if n is a multiple of m, that is, n = mi for some
integer i, and False otherwise.
R-1.2 Write a short Python function, is even(k), that takes an integer value and
returns True if k is even, and False otherwise. However, your function
cannot use the multiplication, modulo, or division operators.
R-1.3 Write a short Python function, minmax(data), that takes a sequence of
one or more numbers, and returns the smallest and largest numbers, in the
form of a tuple of length two. Do not use the built-in functions min or
max in implementing your solution.
R-1.4 Write a short Python function that takes a positive integer n and returns
the sum of the squares of all the positive integers smaller than n.
R-1.5 Give a single command that computes the sum from Exercise R-1.4, relying on Python’s comprehension syntax and the built-in sum function.
R-1.6 Write a short Python function that takes a positive integer n and returns
the sum of the squares of all the odd positive integers smaller than n.
R-1.7 Give a single command that computes the sum from Exercise R-1.6, relying on Python’s comprehension syntax and the built-in sum function.
R-1.8 Python allows negative integers to be used as indices into a sequence,
such as a string. If string s has length n, and expression s[k] is used for index −n ≤ k < 0, what is the equivalent index j ≥ 0 such that s[j] references
the same element?
R-1.9 What parameters should be sent to the range constructor, to produce a
range with values 50, 60, 70, 80?
R-1.10 What parameters should be sent to the range constructor, to produce a
range with values 8, 6, 4, 2, 0, −2, −4, −6, −8?
R-1.11 Demonstrate how to use Python’s list comprehension syntax to produce
the list [1, 2, 4, 8, 16, 32, 64, 128, 256].
R-1.12 Python’s random module includes a function choice(data) that returns a
random element from a non-empty sequence. The random module includes a more basic function randrange, with parameterization similar to
the built-in range function, that return a random choice from the given
range. Using only the randrange function, implement your own version
of the choice function.
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Creativity
C-1.13 Write a pseudo-code description of a function that reverses a list of n
integers, so that the numbers are listed in the opposite order than they
were before, and compare this method to an equivalent Python function
for doing the same thing.
C-1.14 Write a short Python function that takes a sequence of integer values and
determines if there is a distinct pair of numbers in the sequence whose
product is odd.
C-1.15 Write a Python function that takes a sequence of numbers and determines
if all the numbers are different from each other (that is, they are distinct).
C-1.16 In our implementation of the scale function (page 25), the body of the loop
executes the command data[j] = factor. We have discussed that numeric
types are immutable, and that use of the = operator in this context causes
the creation of a new instance (not the mutation of an existing instance).
How is it still possible, then, that our implementation of scale changes the
actual parameter sent by the caller?
C-1.17 Had we implemented the scale function (page 25) as follows, does it work
properly?
def scale(data, factor):
for val in data:
val = factor
Explain why or why not.
C-1.18 Demonstrate how to use Python’s list comprehension syntax to produce
the list [0, 2, 6, 12, 20, 30, 42, 56, 72, 90].
C-1.19 Demonstrate how to use Python’s list comprehension syntax to produce
the list [ a , b , c , ..., z ], but without having to type all 26 such
characters literally.
C-1.20 Python’s random module includes a function shuffle(data) that accepts a
list of elements and randomly reorders the elements so that each possible order occurs with equal probability. The random module includes a
more basic function randint(a, b) that returns a uniformly random integer
from a to b (including both endpoints). Using only the randint function,
implement your own version of the shuffle function.
C-1.21 Write a Python program that repeatedly reads lines from standard input
until an EOFError is raised, and then outputs those lines in reverse order
(a user can indicate end of input by typing ctrl-D).
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1.12. Exercises
53
C-1.22 Write a short Python program that takes two arrays a and b of length n
storing int values, and returns the dot product of a and b. That is, it returns
an array c of length n such that c[i] = a[i] · b[i], for i = 0, . . . , n − 1.
C-1.23 Give an example of a Python code fragment that attempts to write an element to a list based on an index that may be out of bounds. If that index
is out of bounds, the program should catch the exception that results, and
print the following error message:
“Don’t try buffer overflow attacks in Python!”
C-1.24 Write a short Python function that counts the number of vowels in a given
character string.
C-1.25 Write a short Python function that takes a string s, representing a sentence,
and returns a copy of the string with all punctuation removed. For example, if given the string "Let s try, Mike.", this function would return
"Lets try Mike".
C-1.26 Write a short program that takes as input three integers, a, b, and c, from
the console and determines if they can be used in a correct arithmetic
formula (in the given order), like “a + b = c,” “a = b − c,” or “a ∗ b = c.”
C-1.27 In Section 1.8, we provided three different implementations of a generator
that computes factors of a given integer. The third of those implementations, from page 41, was the most efficient, but we noted that it did not
yield the factors in increasing order. Modify the generator so that it reports
factors in increasing order, while maintaining its general performance advantages.
C-1.28 The p-norm of a vector v = (v1 , v2 , . . . , vn ) in n-dimensional space is defined as
p
v = v1p + v2p + · · · + vnp .
For the special case of p = 2, this results in the traditional Euclidean
norm, which represents the length of the vector. For example, the Euclidean norm of a two-dimensional
with coordinates (4, 3) has a
√
√ vector √
2
2
Euclidean norm of 4 + 3 = 16 + 9 = 25 = 5. Give an implementation of a function named norm such that norm(v, p) returns the p-norm
value of v and norm(v) returns the Euclidean norm of v. You may assume
that v is a list of numbers.
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Chapter 1. Python Primer
54
Projects
P-1.29 Write a Python program that outputs all possible strings formed by using
the characters c , a , t , d , o , and g exactly once.
P-1.30 Write a Python program that can take a positive integer greater than 2 as
input and write out the number of times one must repeatedly divide this
number by 2 before getting a value less than 2.
P-1.31 Write a Python program that can “make change.” Your program should
take two numbers as input, one that is a monetary amount charged and the
other that is a monetary amount given. It should then return the number
of each kind of bill and coin to give back as change for the difference
between the amount given and the amount charged. The values assigned
to the bills and coins can be based on the monetary system of any current
or former government. Try to design your program so that it returns as
few bills and coins as possible.
P-1.32 Write a Python program that can simulate a simple calculator, using the
console as the exclusive input and output device. That is, each input to the
calculator, be it a number, like 12.34 or 1034, or an operator, like + or =,
can be done on a separate line. After each such input, you should output
to the Python console what would be displayed on your calculator.
P-1.33 Write a Python program that simulates a handheld calculator. Your program should process input from the Python console representing buttons
that are “pushed,” and then output the contents of the screen after each operation is performed. Minimally, your calculator should be able to process
the basic arithmetic operations and a reset/clear operation.
P-1.34 A common punishment for school children is to write out a sentence multiple times. Write a Python stand-alone program that will write out the
following sentence one hundred times: “I will never spam my friends
again.” Your program should number each of the sentences and it should
make eight different random-looking typos.
P-1.35 The birthday paradox says that the probability that two people in a room
will have the same birthday is more than half, provided n, the number of
people in the room, is more than 23. This property is not really a paradox,
but many people find it surprising. Design a Python program that can test
this paradox by a series of experiments on randomly generated birthdays,
which test this paradox for n = 5, 10, 15, 20, . . . , 100.
P-1.36 Write a Python program that inputs a list of words, separated by whitespace, and outputs how many times each word appears in the list. You
need not worry about efficiency at this point, however, as this topic is
something that will be addressed later in this book.
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Chapter Notes
55
Chapter Notes
The official Python Web site (http://www.python.org) has a wealth of information, including a tutorial and full documentation of the built-in functions, classes, and standard
modules. The Python interpreter is itself a useful reference, as the interactive command
help(foo) provides documentation for any function, class, or module that foo identifies.
Books providing an introduction to programming in Python include titles authored by
Campbell et al. [22], Cedar [25], Dawson [32], Goldwasser and Letscher [43], Lutz [72],
Perkovic [82], and Zelle [105]. More complete reference books on Python include titles by
Beazley [12], and Summerfield [91].
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Chapter
2
Object-Oriented Programming
Contents
2.1
2.2
2.3
2.4
2.5
2.6
2.7
Goals, Principles, and Patterns . . . . . . . . . . . . . . . .
2.1.1 Object-Oriented Design Goals . . . . . . . . . . . . . . .
2.1.2 Object-Oriented Design Principles . . . . . . . . . . . . .
2.1.3 Design Patterns . . . . . . . . . . . . . . . . . . . . . . .
Software Development . . . . . . . . . . . . . . . . . . . .
2.2.1 Design . . . . . . . . . . . . . . . . . . . . . . . . . . . .
2.2.2 Pseudo-Code . . . . . . . . . . . . . . . . . . . . . . . .
2.2.3 Coding Style and Documentation . . . . . . . . . . . . . .
2.2.4 Testing and Debugging . . . . . . . . . . . . . . . . . . .
Class Definitions . . . . . . . . . . . . . . . . . . . . . . . .
2.3.1 Example: CreditCard Class . . . . . . . . . . . . . . . . .
2.3.2 Operator Overloading and Python’s Special Methods . . .
2.3.3 Example: Multidimensional Vector Class . . . . . . . . . .
2.3.4 Iterators . . . . . . . . . . . . . . . . . . . . . . . . . . .
2.3.5 Example: Range Class . . . . . . . . . . . . . . . . . . . .
Inheritance . . . . . . . . . . . . . . . . . . . . . . . . . . .
2.4.1 Extending the CreditCard Class . . . . . . . . . . . . . . .
2.4.2 Hierarchy of Numeric Progressions . . . . . . . . . . . . .
2.4.3 Abstract Base Classes . . . . . . . . . . . . . . . . . . . .
Namespaces and Object-Orientation . . . . . . . . . . . . .
2.5.1 Instance and Class Namespaces . . . . . . . . . . . . . . .
2.5.2 Name Resolution and Dynamic Dispatch . . . . . . . . . .
Shallow and Deep Copying . . . . . . . . . . . . . . . . . .
Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . .
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57
58
61
62
62
64
64
67
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69
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77
79
80
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83
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96
100
101
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2.1. Goals, Principles, and Patterns
2.1
57
Goals, Principles, and Patterns
As the name implies, the main “actors” in the object-oriented paradigm are called
objects. Each object is an instance of a class. Each class presents to the outside
world a concise and consistent view of the objects that are instances of this class,
without going into too much unnecessary detail or giving others access to the inner
workings of the objects. The class definition typically specifies instance variables,
also known as data members, that the object contains, as well as the methods, also
known as member functions, that the object can execute. This view of computing
is intended to fulfill several goals and incorporate several design principles, which
we discuss in this chapter.
2.1.1 Object-Oriented Design Goals
Software implementations should achieve robustness, adaptability, and reusability. (See Figure 2.1.)
Robustness
Adaptability
Reusability
Figure 2.1: Goals of object-oriented design.
Robustness
Every good programmer wants to develop software that is correct, which means that
a program produces the right output for all the anticipated inputs in the program’s
application. In addition, we want software to be robust, that is, capable of handling
unexpected inputs that are not explicitly defined for its application. For example,
if a program is expecting a positive integer (perhaps representing the price of an
item) and instead is given a negative integer, then the program should be able to
recover gracefully from this error. More importantly, in life-critical applications,
where a software error can lead to injury or loss of life, software that is not robust
could be deadly. This point was driven home in the late 1980s in accidents involving Therac-25, a radiation-therapy machine, which severely overdosed six patients
between 1985 and 1987, some of whom died from complications resulting from
their radiation overdose. All six accidents were traced to software errors.
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Chapter 2. Object-Oriented Programming
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Adaptability
Modern software applications, such as Web browsers and Internet search engines,
typically involve large programs that are used for many years. Software, therefore, needs to be able to evolve over time in response to changing conditions in its
environment. Thus, another important goal of quality software is that it achieves
adaptability (also called evolvability). Related to this concept is portability, which
is the ability of software to run with minimal change on different hardware and
operating system platforms. An advantage of writing software in Python is the
portability provided by the language itself.
Reusability
Going hand in hand with adaptability is the desire that software be reusable, that
is, the same code should be usable as a component of different systems in various
applications. Developing quality software can be an expensive enterprise, and its
cost can be offset somewhat if the software is designed in a way that makes it easily
reusable in future applications. Such reuse should be done with care, however, for
one of the major sources of software errors in the Therac-25 came from inappropriate reuse of Therac-20 software (which was not object-oriented and not designed
for the hardware platform used with the Therac-25).
2.1.2 Object-Oriented Design Principles
Chief among the principles of the object-oriented approach, which are intended to
facilitate the goals outlined above, are the following (see Figure 2.2):
• Modularity
• Abstraction
• Encapsulation
Modularity
Abstraction
Encapsulation
Figure 2.2: Principles of object-oriented design.
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2.1. Goals, Principles, and Patterns
59
Modularity
Modern software systems typically consist of several different components that
must interact correctly in order for the entire system to work properly. Keeping
these interactions straight requires that these different components be well organized. Modularity refers to an organizing principle in which different components
of a software system are divided into separate functional units.
As a real-world analogy, a house or apartment can be viewed as consisting of
several interacting units: electrical, heating and cooling, plumbing, and structural.
Rather than viewing these systems as one giant jumble of wires, vents, pipes, and
boards, the organized architect designing a house or apartment will view them as
separate modules that interact in well-defined ways. In so doing, he or she is using
modularity to bring a clarity of thought that provides a natural way of organizing
functions into distinct manageable units.
In like manner, using modularity in a software system can also provide a powerful organizing framework that brings clarity to an implementation. In Python,
we have already seen that a module is a collection of closely related functions and
classes that are defined together in a single file of source code. Python’s standard
libraries include, for example, the math module, which provides definitions for key
mathematical constants and functions, and the os module, which provides support
for interacting with the operating system.
The use of modularity helps support the goals listed in Section 2.1.1. Robustness is greatly increased because it is easier to test and debug separate components
before they are integrated into a larger software system. Furthermore, bugs that persist in a complete system might be traced to a particular component, which can be
fixed in relative isolation. The structure imposed by modularity also helps enable
software reusability. If software modules are written in a general way, the modules
can be reused when related need arises in other contexts. This is particularly relevant in a study of data structures, which can typically be designed with sufficient
abstraction and generality to be reused in many applications.
Abstraction
The notion of abstraction is to distill a complicated system down to its most fundamental parts. Typically, describing the parts of a system involves naming them and
explaining their functionality. Applying the abstraction paradigm to the design of
data structures gives rise to abstract data types (ADTs). An ADT is a mathematical
model of a data structure that specifies the type of data stored, the operations supported on them, and the types of parameters of the operations. An ADT specifies
what each operation does, but not how it does it. We will typically refer to the
collective set of behaviors supported by an ADT as its public interface.
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Chapter 2. Object-Oriented Programming
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As a programming language, Python provides a great deal of latitude in regard
to the specification of an interface. Python has a tradition of treating abstractions
implicitly using a mechanism known as duck typing. As an interpreted and dynamically typed language, there is no “compile time” checking of data types in
Python, and no formal requirement for declarations of abstract base classes. Instead programmers assume that an object supports a set of known behaviors, with
the interpreter raising a run-time error if those assumptions fail. The description
of this as “duck typing” comes from an adage attributed to poet James Whitcomb
Riley, stating that “when I see a bird that walks like a duck and swims like a duck
and quacks like a duck, I call that bird a duck.”
More formally, Python supports abstract data types using a mechanism known
as an abstract base class (ABC). An abstract base class cannot be instantiated
(i.e., you cannot directly create an instance of that class), but it defines one or more
common methods that all implementations of the abstraction must have. An ABC
is realized by one or more concrete classes that inherit from the abstract base class
while providing implementations for those method declared by the ABC. Python’s
abc module provides formal support for ABCs, although we omit such declarations
for simplicity. We will make use of several existing abstract base classes coming
from Python’s collections module, which includes definitions for several common
data structure ADTs, and concrete implementations of some of those abstractions.
Encapsulation
Another important principle of object-oriented design is encapsulation. Different
components of a software system should not reveal the internal details of their
respective implementations. One of the main advantages of encapsulation is that it
gives one programmer freedom to implement the details of a component, without
concern that other programmers will be writing code that intricately depends on
those internal decisions. The only constraint on the programmer of a component
is to maintain the public interface for the component, as other programmers will
be writing code that depends on that interface. Encapsulation yields robustness
and adaptability, for it allows the implementation details of parts of a program to
change without adversely affecting other parts, thereby making it easier to fix bugs
or add new functionality with relatively local changes to a component.
Throughout this book, we will adhere to the principle of encapsulation, making
clear which aspects of a data structure are assumed to be public and which are
assumed to be internal details. With that said, Python provides only loose support
for encapsulation. By convention, names of members of a class (both data members
and member functions) that start with a single underscore character (e.g., secret)
are assumed to be nonpublic and should not be relied upon. Those conventions
are reinforced by the intentional omission of those members from automatically
generated documentation.
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61
2.1.3 Design Patterns
Object-oriented design facilitates reusable, robust, and adaptable software. Designing good code takes more than simply understanding object-oriented methodologies, however. It requires the effective use of object-oriented design techniques.
Computing researchers and practitioners have developed a variety of organizational concepts and methodologies for designing quality object-oriented software
that is concise, correct, and reusable. Of special relevance to this book is the concept of a design pattern, which describes a solution to a “typical” software design
problem. A pattern provides a general template for a solution that can be applied in
many different situations. It describes the main elements of a solution in an abstract
way that can be specialized for a specific problem at hand. It consists of a name,
which identifies the pattern; a context, which describes the scenarios for which this
pattern can be applied; a template, which describes how the pattern is applied; and
a result, which describes and analyzes what the pattern produces.
We present several design patterns in this book, and we show how they can be
consistently applied to implementations of data structures and algorithms. These
design patterns fall into two groups—patterns for solving algorithm design problems and patterns for solving software engineering problems. The algorithm design
patterns we discuss include the following:
•
•
•
•
•
•
•
Recursion (Chapter 4)
Amortization (Sections 5.3 and 11.4)
Divide-and-conquer (Section 12.2.1)
Prune-and-search, also known as decrease-and-conquer (Section 12.7.1)
Brute force (Section 13.2.1)
Dynamic programming (Section 13.3).
The greedy method (Sections 13.4.2, 14.6.2, and 14.7)
Likewise, the software engineering design patterns we discuss include:
•
•
•
•
•
•
•
Iterator (Sections 1.8 and 2.3.4)
Adapter (Section 6.1.2)
Position (Sections 7.4 and 8.1.2)
Composition (Sections 7.6.1, 9.2.1, and 10.1.4)
Template method (Sections 2.4.3, 8.4.6, 10.1.3, 10.5.2, and 11.2.1)
Locator (Section 9.5.1)
Factory method (Section 11.2.1)
Rather than explain each of these concepts here, however, we introduce them
throughout the text as noted above. For each pattern, be it for algorithm engineering
or software engineering, we explain its general use and we illustrate it with at least
one concrete example.
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Chapter 2. Object-Oriented Programming
62
2.2
Software Development
Traditional software development involves several phases. Three major steps are:
1. Design
2. Implementation
3. Testing and Debugging
In this section, we briefly discuss the role of these phases, and we introduce several good practices for programming in Python, including coding style, naming
conventions, formal documentation, and unit testing.
2.2.1 Design
For object-oriented programming, the design step is perhaps the most important
phase in the process of developing software. For it is in the design step that we
decide how to divide the workings of our program into classes, we decide how
these classes will interact, what data each will store, and what actions each will
perform. Indeed, one of the main challenges that beginning programmers face is
deciding what classes to define to do the work of their program. While general
prescriptions are hard to come by, there are some rules of thumb that we can apply
when determining how to design our classes:
• Responsibilities: Divide the work into different actors, each with a different
responsibility. Try to describe responsibilities using action verbs. These
actors will form the classes for the program.
• Independence: Define the work for each class to be as independent from
other classes as possible. Subdivide responsibilities between classes so that
each class has autonomy over some aspect of the program. Give data (as instance variables) to the class that has jurisdiction over the actions that require
access to this data.
• Behaviors: Define the behaviors for each class carefully and precisely, so
that the consequences of each action performed by a class will be well understood by other classes that interact with it. These behaviors will define
the methods that this class performs, and the set of behaviors for a class are
the interface to the class, as these form the means for other pieces of code to
interact with objects from the class.
Defining the classes, together with their instance variables and methods, are key
to the design of an object-oriented program. A good programmer will naturally
develop greater skill in performing these tasks over time, as experience teaches
him or her to notice patterns in the requirements of a program that match patterns
that he or she has seen before.
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2.2. Software Development
63
A common tool for developing an initial high-level design for a project is the
use of CRC cards. Class-Responsibility-Collaborator (CRC) cards are simple index cards that subdivide the work required of a program. The main idea behind this
tool is to have each card represent a component, which will ultimately become a
class in the program. We write the name of each component on the top of an index
card. On the left-hand side of the card, we begin writing the responsibilities for
this component. On the right-hand side, we list the collaborators for this component, that is, the other components that this component will have to interact with to
perform its duties.
The design process iterates through an action/actor cycle, where we first identify an action (that is, a responsibility), and we then determine an actor (that is, a
component) that is best suited to perform that action. The design is complete when
we have assigned all actions to actors. In using index cards for this process (rather
than larger pieces of paper), we are relying on the fact that each component should
have a small set of responsibilities and collaborators. Enforcing this rule helps keep
the individual classes manageable.
As the design takes form, a standard approach to explain and document the
design is the use of UML (Unified Modeling Language) diagrams to express the
organization of a program. UML diagrams are a standard visual notation to express
object-oriented software designs. Several computer-aided tools are available to
build UML diagrams. One type of UML figure is known as a class diagram. An
example of such a diagram is given in Figure 2.3, for a class that represents a
consumer credit card. The diagram has three portions, with the first designating
the name of the class, the second designating the recommended instance variables,
and the third designating the recommended methods of the class. In Section 2.2.3,
we discuss our naming conventions, and in Section 2.3.1, we provide a complete
implementation of a Python CreditCard class based on this design.
CreditCard
Class:
Fields:
Behaviors:
customer
bank
account
get customer( )
get bank( )
get account( )
make payment(amount)
balance
limit
get balance( )
get limit( )
charge(price)
Figure 2.3: Class diagram for a proposed CreditCard class.
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Chapter 2. Object-Oriented Programming
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2.2.2 Pseudo-Code
As an intermediate step before the implementation of a design, programmers are
often asked to describe algorithms in a way that is intended for human eyes only.
Such descriptions are called pseudo-code. Pseudo-code is not a computer program,
but is more structured than usual prose. It is a mixture of natural language and
high-level programming constructs that describe the main ideas behind a generic
implementation of a data structure or algorithm. Because pseudo-code is designed
for a human reader, not a computer, we can communicate high-level ideas, without
being burdened with low-level implementation details. At the same time, we should
not gloss over important steps. Like many forms of human communication, finding
the right balance is an important skill that is refined through practice.
In this book, we rely on a pseudo-code style that we hope will be evident to
Python programmers, yet with a mix of mathematical notations and English prose.
For example, we might use the phrase “indicate an error” rather than a formal raise
statement. Following conventions of Python, we rely on indentation to indicate
the extent of control structures and on an indexing notation in which entries of a
sequence A with length n are indexed from A[0] to A[n − 1]. However, we choose
to enclose comments within curly braces { like these } in our pseudo-code, rather
than using Python’s # character.
2.2.3 Coding Style and Documentation
Programs should be made easy to read and understand. Good programmers should
therefore be mindful of their coding style, and develop a style that communicates
the important aspects of a program’s design for both humans and computers. Conventions for coding style tend to vary between different programming communities.
The official Style Guide for Python Code is available online at
http://www.python.org/dev/peps/pep-0008/
The main principles that we adopt are as follows:
• Python code blocks are typically indented by 4 spaces. However, to avoid
having our code fragments overrun the book’s margins, we use 2 spaces for
each level of indentation. It is strongly recommended that tabs be avoided, as
tabs are displayed with differing widths across systems, and tabs and spaces
are not viewed as identical by the Python interpreter. Many Python-aware
editors will automatically replace tabs with an appropriate number of spaces.
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2.2. Software Development
65
• Use meaningful names for identifiers. Try to choose names that can be read
aloud, and choose names that reflect the action, responsibility, or data each
identifier is naming.
◦ Classes (other than Python’s built-in classes) should have a name that
serves as a singular noun, and should be capitalized (e.g., Date rather
than date or Dates). When multiple words are concatenated to form a
class name, they should follow the so-called “CamelCase” convention
in which the first letter of each word is capitalized (e.g., CreditCard).
◦ Functions, including member functions of a class, should be lowercase.
If multiple words are combined, they should be separated by underscores (e.g., make payment). The name of a function should typically
be a verb that describes its affect. However, if the only purpose of the
function is to return a value, the function name may be a noun that
describes the value (e.g., sqrt rather than calculate sqrt).
◦ Names that identify an individual object (e.g., a parameter, instance
variable, or local variable) should be a lowercase noun (e.g., price).
Occasionally, we stray from this rule when using a single uppercase
letter to designate the name of a data structures (such as tree T).
◦ Identifiers that represent a value considered to be a constant are traditionally identified using all capital letters and with underscores to separate words (e.g., MAX SIZE).
Recall from our discussion of encapsulation that identifiers in any context
that begin with a single leading underscore (e.g., secret) are intended to
suggest that they are only for “internal” use to a class or module, and not part
of a public interface.
• Use comments that add meaning to a program and explain ambiguous or
confusing constructs. In-line comments are good for quick explanations;
they are indicated in Python following the # character, as in
if n % 2 == 1:
# n is odd
Multiline block comments are good for explaining more complex code sections. In Python, these are technically multiline string literals, typically delimited with triple quotes (”””), which have no effect when executed. In the
next section, we discuss the use of block comments for documentation.
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Documentation
Python provides integrated support for embedding formal documentation directly
in source code using a mechanism known as a docstring. Formally, any string literal
that appears as the first statement within the body of a module, class, or function
(including a member function of a class) will be considered to be a docstring. By
convention, those string literals should be delimited within triple quotes (”””). As
an example, our version of the scale function from page 25 could be documented
as follows:
def scale(data, factor):
”””Multiply all entries of numeric data list by the given factor.”””
for j in range(len(data)):
data[j] = factor
It is common to use the triple-quoted string delimiter for a docstring, even when
the string fits on a single line, as in the above example. More detailed docstrings
should begin with a single line that summarizes the purpose, followed by a blank
line, and then further details. For example, we might more clearly document the
scale function as follows:
def scale(data, factor):
”””Multiply all entries of numeric data list by the given factor.
data
an instance of any mutable sequence type (such as a list)
containing numeric elements
factor a number that serves as the multiplicative factor for scaling
”””
for j in range(len(data)):
data[j] = factor
A docstring is stored as a field of the module, function, or class in which it
is declared. It serves as documentation and can be retrieved in a variety of ways.
For example, the command help(x), within the Python interpreter, produces the
documentation associated with the identified object x. An external tool named
pydoc is distributed with Python and can be used to generate formal documentation
as text or as a Web page. Guidelines for authoring useful docstrings are available
at:
http://www.python.org/dev/peps/pep-0257/
In this book, we will try to present docstrings when space allows. Omitted
docstrings can be found in the online version of our source code.
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2.2. Software Development
67
2.2.4 Testing and Debugging
Testing is the process of experimentally checking the correctness of a program,
while debugging is the process of tracking the execution of a program and discovering the errors in it. Testing and debugging are often the most time-consuming
activity in the development of a program.
Testing
A careful testing plan is an essential part of writing a program. While verifying the
correctness of a program over all possible inputs is usually infeasible, we should
aim at executing the program on a representative subset of inputs. At the very
minimum, we should make sure that every method of a class is tested at least once
(method coverage). Even better, each code statement in the program should be
executed at least once (statement coverage).
Programs often tend to fail on special cases of the input. Such cases need to be
carefully identified and tested. For example, when testing a method that sorts (that
is, puts in order) a sequence of integers, we should consider the following inputs:
• The sequence has zero length (no elements).
• The sequence has one element.
• All the elements of the sequence are the same.
• The sequence is already sorted.
• The sequence is reverse sorted.
In addition to special inputs to the program, we should also consider special
conditions for the structures used by the program. For example, if we use a Python
list to store data, we should make sure that boundary cases, such as inserting or
removing at the beginning or end of the list, are properly handled.
While it is essential to use handcrafted test suites, it is also advantageous to
run the program on a large collection of randomly generated inputs. The random
module in Python provides several means for generating random numbers, or for
randomizing the order of collections.
The dependencies among the classes and functions of a program induce a hierarchy. Namely, a component A is above a component B in the hierarchy if A
depends upon B, such as when function A calls function B, or function A relies on
a parameter that is an instance of class B. There are two main testing strategies,
top-down and bottom-up, which differ in the order in which components are tested.
Top-down testing proceeds from the top to the bottom of the program hierarchy.
It is typically used in conjunction with stubbing, a boot-strapping technique that
replaces a lower-level component with a stub, a replacement for the component
that simulates the functionality of the original. For example, if function A calls
function B to get the first line of a file, when testing A we can replace B with a stub
that returns a fixed string.
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Chapter 2. Object-Oriented Programming
68
Bottom-up testing proceeds from lower-level components to higher-level components. For example, bottom-level functions, which do not invoke other functions,
are tested first, followed by functions that call only bottom-level functions, and so
on. Similarly a class that does not depend upon any other classes can be tested
before another class that depends on the former. This form of testing is usually
described as unit testing, as the functionality of a specific component is tested in
isolation of the larger software project. If used properly, this strategy better isolates
the cause of errors to the component being tested, as lower-level components upon
which it relies should have already been thoroughly tested.
Python provides several forms of support for automated testing. When functions or classes are defined in a module, testing for that module can be embedded
in the same file. The mechanism for doing so was described in Section 1.11. Code
that is shielded in a conditional construct of the form
if
name == __main__ :
# perform tests...
will be executed when Python is invoked directly on that module, but not when the
module is imported for use in a larger software project. It is common to put tests
in such a construct to test the functionality of the functions and classes specifically
defined in that module.
More robust support for automation of unit testing is provided by Python’s
unittest module. This framework allows the grouping of individual test cases into
larger test suites, and provides support for executing those suites, and reporting or
analyzing the results of those tests. As software is maintained, the act of regression
testing is used, whereby all previous tests are re-executed to ensure that changes to
the software do not introduce new bugs in previously tested components.
Debugging
The simplest debugging technique consists of using print statements to track the
values of variables during the execution of the program. A problem with this approach is that eventually the print statements need to be removed or commented
out, so they are not executed when the software is finally released.
A better approach is to run the program within a debugger, which is a specialized environment for controlling and monitoring the execution of a program. The
basic functionality provided by a debugger is the insertion of breakpoints within
the code. When the program is executed within the debugger, it stops at each
breakpoint. While the program is stopped, the current value of variables can be
inspected.
The standard Python distribution includes a module named pdb, which provides
debugging support directly within the interpreter. Most IDEs for Python, such as
IDLE, provide debugging environments with graphical user interfaces.
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2.3. Class Definitions
2.3
69
Class Definitions
A class serves as the primary means for abstraction in object-oriented programming. In Python, every piece of data is represented as an instance of some class.
A class provides a set of behaviors in the form of member functions (also known
as methods), with implementations that are common to all instances of that class.
A class also serves as a blueprint for its instances, effectively determining the way
that state information for each instance is represented in the form of attributes (also
known as fields, instance variables, or data members).
2.3.1 Example: CreditCard Class
As a first example, we provide an implementation of a CreditCard class based on
the design we introduced in Figure 2.3 of Section 2.2.1. The instances defined by
the CreditCard class provide a simple model for traditional credit cards. They have
identifying information about the customer, bank, account number, credit limit, and
current balance. The class restricts charges that would cause a card’s balance to go
over its spending limit, but it does not charge interest or late payments (we revisit
such themes in Section 2.4.1).
Our code begins in Code Fragment 2.1 and continues in Code Fragment 2.2.
The construct begins with the keyword, class, followed by the name of the class, a
colon, and then an indented block of code that serves as the body of the class. The
body includes definitions for all methods of the class. These methods are defined as
functions, using techniques introduced in Section 1.5, yet with a special parameter,
named self, that serves to identify the particular instance upon which a member is
invoked.
The self Identifier
In Python, the self identifier plays a key role. In the context of the CreditCard
class, there can presumably be many different CreditCard instances, and each must
maintain its own balance, its own credit limit, and so on. Therefore, each instance
stores its own instance variables to reflect its current state.
Syntactically, self identifies the instance upon which a method is invoked. For
example, assume that a user of our class has a variable, my card, that identifies
an instance of the CreditCard class. When the user calls my card.get balance( ),
identifier self, within the definition of the get balance method, refers to the card
known as my card by the caller. The expression, self. balance refers to an instance
variable, named balance, stored as part of that particular credit card’s state.
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Chapter 2. Object-Oriented Programming
1 class CreditCard:
2
”””A consumer credit card.”””
3
4
def init (self, customer, bank, acnt, limit):
5
”””Create a new credit card instance.
6
7
The initial balance is zero.
8
9
customer the name of the customer (e.g., John Bowman )
10
bank
the name of the bank (e.g., California Savings )
11
acnt
the acount identifier (e.g., 5391 0375 9387 5309 )
12
limit
credit limit (measured in dollars)
13
”””
14
self. customer = customer
15
self. bank = bank
16
self. account = acnt
17
self. limit = limit
18
self. balance = 0
19
20
def get customer(self):
21
”””Return name of the customer.”””
22
return self. customer
23
24
def get bank(self):
25
”””Return the bank s name.”””
26
return self. bank
27
28
def get account(self):
29
”””Return the card identifying number (typically stored as a string).”””
30
return self. account
31
32
def get limit(self):
33
”””Return current credit limit.”””
34
return self. limit
35
36
def get balance(self):
37
”””Return current balance.”””
38
return self. balance
Code Fragment 2.1: The beginning of the CreditCard class definition (continued in
Code Fragment 2.2).
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2.3. Class Definitions
39
40
41
42
43
44
45
46
47
48
49
50
51
52
71
def charge(self, price):
”””Charge given price to the card, assuming sufficient credit limit.
Return True if charge was processed; False if charge was denied.
”””
# if charge would exceed limit,
if price + self. balance > self. limit:
return False
# cannot accept charge
else:
self. balance += price
return True
def make payment(self, amount):
”””Process customer payment that reduces balance.”””
self. balance −= amount
Code Fragment 2.2: The conclusion of the CreditCard class definition (continued
from Code Fragment 2.1). These methods are indented within the class definition.
We draw attention to the difference between the method signature as declared
within the class versus that used by a caller. For example, from a user’s perspective we have seen that the get balance method takes zero parameters, yet within
the class definition, self is an explicit parameter. Likewise, the charge method is
declared within the class having two parameters (self and price), even though this
method is called with one parameter, for example, as my card.charge(200). The
interpretter automatically binds the instance upon which the method is invoked to
the self parameter.
The Constructor
A user can create an instance of the CreditCard class using a syntax as:
cc = CreditCard( John Doe,
1st Bank ,
5391 0375 9387 5309 , 1000)
Internally, this results in a call to the specially named init method that serves
as the constructor of the class. Its primary responsibility is to establish the state of
a newly created credit card object with appropriate instance variables. In the case
of the CreditCard class, each object maintains five instance variables, which we
name: customer, bank, account, limit, and balance. The initial values for the
first four of those five are provided as explicit parameters that are sent by the user
when instantiating the credit card, and assigned within the body of the constructor. For example, the command, self. customer = customer, assigns the instance
variable self. customer to the parameter customer; note that because customer is
unqualified on the right-hand side, it refers to the parameter in the local namespace.
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Chapter 2. Object-Oriented Programming
72
Encapsulation
By the conventions described in Section 2.2.3, a single leading underscore in the
name of a data member, such as balance, implies that it is intended as nonpublic.
Users of a class should not directly access such members.
As a general rule, we will treat all data members as nonpublic. This allows
us to better enforce a consistent state for all instances. We can provide accessors,
such as get balance, to provide a user of our class read-only access to a trait. If
we wish to allow the user to change the state, we can provide appropriate update
methods. In the context of data structures, encapsulating the internal representation
allows us greater flexibility to redesign the way a class works, perhaps to improve
the efficiency of the structure.
Additional Methods
The most interesting behaviors in our class are charge and make payment. The
charge function typically adds the given price to the credit card balance, to reflect
a purchase of said price by the customer. However, before accepting the charge,
our implementation verifies that the new purchase would not cause the balance to
exceed the credit limit. The make payment charge reflects the customer sending
payment to the bank for the given amount, thereby reducing the balance on the
card. We note that in the command, self. balance −= amount, the expression
self. balance is qualified with the self identifier because it represents an instance
variable of the card, while the unqualified amount represents the local parameter.
Error Checking
Our implementation of the CreditCard class is not particularly robust. First, we
note that we did not explicitly check the types of the parameters to charge and
make payment, nor any of the parameters to the constructor. If a user were to make
a call such as visa.charge( candy ), our code would presumably crash when attempting to add that parameter to the current balance. If this class were to be widely
used in a library, we might use more rigorous techniques to raise a TypeError when
facing such misuse (see Section 1.7).
Beyond the obvious type errors, our implementation may be susceptible to logical errors. For example, if a user were allowed to charge a negative price, such
as visa.charge(−300), that would serve to lower the customer’s balance. This provides a loophole for lowering a balance without making a payment. Of course,
this might be considered valid usage if modeling the credit received when a customer returns merchandise to a store. We will explore some such issues with the
CreditCard class in the end-of-chapter exercises.
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2.3. Class Definitions
73
Testing the Class
In Code Fragment 2.3, we demonstrate some basic usage of the CreditCard class,
inserting three cards into a list named wallet. We use loops to make some charges
and payments, and use various accessors to print results to the console.
These tests are enclosed within a conditional, if name == __main__ :,
so that they can be embedded in the source code with the class definition. Using
the terminology of Section 2.2.4, these tests provide method coverage, as each of
the methods is called at least once, but it does not provide statement coverage, as
there is never a case in which a charge is rejected due to the credit limit. This
is not a particular advanced from of testing as the output of the given tests must
be manually audited in order to determine whether the class behaved as expected.
Python has tools for more formal testing (see discussion of the unittest module
in Section 2.2.4), so that resulting values can be automatically compared to the
predicted outcomes, with output generated only when an error is detected.
53 if name == __main__ :
54
wallet = [ ]
55
wallet.append(CreditCard( John Bowman , California Savings ,
5391 0375 9387 5309 , 2500) )
56
57
wallet.append(CreditCard( John Bowman , California Federal ,
3485 0399 3395 1954 , 3500) )
58
59
wallet.append(CreditCard( John Bowman , California Finance ,
5391 0375 9387 5309 , 5000) )
60
61
62
for val in range(1, 17):
63
wallet[0].charge(val)
64
wallet[1].charge(2 val)
65
wallet[2].charge(3 val)
66
67
for c in range(3):
68
print( Customer = , wallet[c].get customer( ))
69
print( Bank = , wallet[c].get bank( ))
70
print( Account = , wallet[c].get account( ))
71
print( Limit = , wallet[c].get limit( ))
72
print( Balance = , wallet[c].get balance( ))
73
while wallet[c].get balance( ) > 100:
74
wallet[c].make payment(100)
75
print( New balance = , wallet[c].get balance( ))
76
print( )
Code Fragment 2.3: Testing the CreditCard class.
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Chapter 2. Object-Oriented Programming
74
2.3.2 Operator Overloading and Python’s Special Methods
Python’s built-in classes provide natural semantics for many operators. For example, the syntax a + b invokes addition for numeric types, yet concatenation for
sequence types. When defining a new class, we must consider whether a syntax
like a + b should be defined when a or b is an instance of that class.
By default, the + operator is undefined for a new class. However, the author
of a class may provide a definition using a technique known as operator overloading. This is done by implementing a specially named method. In particular, the
+ operator is overloaded by implementing a method named add , which takes
the right-hand operand as a parameter and which returns the result of the expression. That is, the syntax, a + b, is converted to a method call on object a of the
form, a. add (b). Similar specially named methods exist for other operators.
Table 2.1 provides a comprehensive list of such methods.
When a binary operator is applied to two instances of different types, as in
love me , Python gives deference to the class of the left operand. In this
3
example, it would effectively check if the int class provides a sufficient definition
for how to multiply an instance by a string, via the mul method. However,
if that class does not implement such a behavior, Python checks the class definition for the right-hand operand, in the form of a special method named rmul
(i.e., “right multiply”). This provides a way for a new user-defined class to support
mixed operations that involve an instance of an existing class (given that the existing class would presumably not have defined a behavior involving this new class).
The distinction between mul and rmul also allows a class to define different semantics in cases, such as matrix multiplication, in which an operation is
noncommutative (that is, A x may differ from x A).
Non-Operator Overloads
In addition to traditional operator overloading, Python relies on specially named
methods to control the behavior of various other functionality, when applied to
user-defined classes. For example, the syntax, str(foo), is formally a call to the
constructor for the string class. Of course, if the parameter is an instance of a userdefined class, the original authors of the string class could not have known how
that instance should be portrayed. So the string constructor calls a specially named
method, foo. str ( ), that must return an appropriate string representation.
Similar special methods are used to determine how to construct an int, float, or
bool based on a parameter from a user-defined class. The conversion to a Boolean
value is particularly important, because the syntax, if foo:, can be used even when
foo is not formally a Boolean value (see Section 1.4.1). For a user-defined class,
that condition is evaluated by the special method foo. bool ( ).
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2.3. Class Definitions
Common Syntax
a+b
a−b
a b
a/b
a // b
a%b
a
b
a << b
a >> b
a&b
aˆb
a|b
a += b
a −= b
a =b
...
+a
−a
˜a
abs(a)
a<b
a <= b
a>b
a >= b
a == b
a != b
v in a
a[k]
a[k] = v
del a[k]
a(arg1, arg2, ...)
len(a)
hash(a)
iter(a)
next(a)
bool(a)
float(a)
int(a)
repr(a)
reversed(a)
str(a)
75
Special Method Form
a. add (b);
alternatively b.
a. sub (b);
alternatively b.
a. mul (b);
alternatively b.
a. truediv (b);
alternatively b.
a. floordiv (b);
alternatively b.
a. mod (b);
alternatively b.
a. pow (b);
alternatively b.
a. lshift (b);
alternatively b.
a. rshift (b);
alternatively b.
a. and (b);
alternatively b.
a. xor (b);
alternatively b.
a. or (b);
alternatively b.
a. iadd (b)
a. isub (b)
a. imul (b)
...
a. pos ( )
a. neg ( )
a. invert ( )
a. abs ( )
a. lt (b)
a. le (b)
a. gt (b)
a. ge (b)
a. eq (b)
a. ne (b)
a. contains (v)
a. getitem (k)
a. setitem (k,v)
a. delitem (k)
a. call (arg1, arg2, ...)
a. len ( )
a. hash ( )
a. iter ( )
a. next ( )
a. bool ( )
a. float ( )
a. int ( )
a. repr ( )
a. reversed ( )
a. str ( )
radd (a)
rsub (a)
rmul (a)
rtruediv (a)
rfloordiv (a)
rmod (a)
rpow (a)
rlshift (a)
rrshift (a)
rand (a)
rxor (a)
ror (a)
Table 2.1: Overloaded operations, implemented with Python’s special methods.
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Chapter 2. Object-Oriented Programming
76
Several other top-level functions rely on calling specially named methods. For
example, the standard way to determine the size of a container type is by calling
the top-level len function. Note well that the calling syntax, len(foo), is not the
traditional method-calling syntax with the dot operator. However, in the case of a
user-defined class, the top-level len function relies on a call to a specially named
len method of that class. That is, the call len(foo) is evaluated through a
method call, foo. len ( ). When developing data structures, we will routinely
define the len method to return a measure of the size of the structure.
Implied Methods
As a general rule, if a particular special method is not implemented in a user-defined
class, the standard syntax that relies upon that method will raise an exception. For
example, evaluating the expression, a + b, for instances of a user-defined class
without add or radd will raise an error.
However, there are some operators that have default definitions provided by
Python, in the absence of special methods, and there are some operators whose
definitions are derived from others. For example, the bool method, which
supports the syntax if foo:, has default semantics so that every object other than
None is evaluated as True. However, for container types, the len method is
typically defined to return the size of the container. If such a method exists, then
the evaluation of bool(foo) is interpreted by default to be True for instances with
nonzero length, and False for instances with zero length, allowing a syntax such as
if waitlist: to be used to test whether there are one or more entries in the waitlist.
In Section 2.3.4, we will discuss Python’s mechanism for providing iterators
for collections via the special method, iter . With that said, if a container class
provides implementations for both len and getitem , a default iteration is
provided automatically (using means we describe in Section 2.3.4). Furthermore,
once an iterator is defined, default functionality of contains is provided.
In Section 1.3 we drew attention to the distinction between expression a is b
and expression a == b, with the former evaluating whether identifiers a and b are
aliases for the same object, and the latter testing a notion of whether the two identifiers reference equivalent values. The notion of “equivalence” depends upon the
context of the class, and semantics is defined with the eq method. However, if
no implementation is given for eq , the syntax a == b is legal with semantics
of a is b, that is, an instance is equivalent to itself and no others.
We should caution that some natural implications are not automatically provided by Python. For example, the eq method supports syntax a == b, but
providing that method does not affect the evaluation of syntax a != b. (The ne
method should be provided, typically returning not (a == b) as a result.) Similarly, providing a lt method supports syntax a < b, and indirectly b > a, but
providing both lt and eq does not imply semantics for a <= b.
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2.3. Class Definitions
77
2.3.3 Example: Multidimensional Vector Class
To demonstrate the use of operator overloading via special methods, we provide
an implementation of a Vector class, representing the coordinates of a vector in a
multidimensional space. For example, in a three-dimensional space, we might wish
to represent a vector with coordinates 5, −2, 3 . Although it might be tempting to
directly use a Python list to represent those coordinates, a list does not provide an
appropriate abstraction for a geometric vector. In particular, if using lists, the expression [5, −2, 3] + [1, 4, 2] results in the list [5, −2, 3, 1, 4, 2]. When working
with vectors, if u = 5, −2, 3 and v = 1, 4, 2 , one would expect the expression,
u + v, to return a three-dimensional vector with coordinates 6, 2, 5 .
We therefore define a Vector class, in Code Fragment 2.4, that provides a better
abstraction for the notion of a geometric vector. Internally, our vector relies upon
an instance of a list, named coords, as its storage mechanism. By keeping the
internal list encapsulated, we can enforce the desired public interface for instances
of our class. A demonstration of supported behaviors includes the following:
v = Vector(5)
v[1] = 23
v[−1] = 45
print(v[4])
u=v+v
print(u)
total = 0
for entry in v:
total += entry
#
#
#
#
#
#
construct five-dimensional <0, 0, 0, 0, 0>
<0, 23, 0, 0, 0> (based on use of setitem )
<0, 23, 0, 0, 45> (also via setitem )
print 45 (via getitem )
<0, 46, 0, 0, 90> (via add )
print <0, 46, 0, 0, 90>
# implicit iteration via
len
and
getitem
We implement many of the behaviors by trivially invoking a similar behavior
on the underlying list of coordinates. However, our implementation of add
is customized. Assuming the two operands are vectors with the same length, this
method creates a new vector and sets the coordinates of the new vector to be equal
to the respective sum of the operands’ elements.
It is interesting to note that the class definition, as given in Code Fragment 2.4,
automatically supports the syntax u = v + [5, 3, 10, −2, 1], resulting in a new
vector that is the element-by-element “sum” of the first vector and the list instance. This is a result of Python’s polymorphism. Literally, “polymorphism”
means “many forms.” Although it is tempting to think of the other parameter of
our add method as another Vector instance, we never declared it as such.
Within the body, the only behaviors we rely on for parameter other is that it supports len(other) and access to other[j]. Therefore, our code executes when the
right-hand operand is a list of numbers (with matching length).
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Chapter 2. Object-Oriented Programming
1 class Vector:
2
”””Represent a vector in a multidimensional space.”””
3
4
def init (self, d):
5
”””Create d-dimensional vector of zeros.”””
6
self. coords = [0] d
7
8
def len (self):
9
”””Return the dimension of the vector.”””
10
return len(self. coords)
11
12
def getitem (self, j):
13
”””Return jth coordinate of vector.”””
14
return self. coords[j]
15
16
def setitem (self, j, val):
17
”””Set jth coordinate of vector to given value.”””
18
self. coords[j] = val
19
20
def add (self, other):
21
”””Return sum of two vectors.”””
22
if len(self) != len(other):
# relies on len method
23
raise ValueError( dimensions must agree )
24
result = Vector(len(self))
# start with vector of zeros
25
for j in range(len(self)):
26
result[j] = self[j] + other[j]
27
return result
28
29
def eq (self, other):
30
”””Return True if vector has same coordinates as other.”””
31
return self. coords == other. coords
32
33
def ne (self, other):
34
”””Return True if vector differs from other.”””
35
return not self == other
# rely on existing eq definition
36
37
def str (self):
38
”””Produce string representation of vector.”””
# adapt list representation
39
return < + str(self. coords)[1:−1] + >
Code Fragment 2.4: Definition of a simple Vector class.
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79
2.3.4 Iterators
Iteration is an important concept in the design of data structures. We introduced
Python’s mechanism for iteration in Section 1.8. In short, an iterator for a collection provides one key behavior: It supports a special method named next that
returns the next element of the collection, if any, or raises a StopIteration exception
to indicate that there are no further elements.
Fortunately, it is rare to have to directly implement an iterator class. Our preferred approach is the use of the generator syntax (also described in Section 1.8),
which automatically produces an iterator of yielded values.
Python also helps by providing an automatic iterator implementation for any
class that defines both len and getitem . To provide an instructive example of a low-level iterator, Code Fragment 2.5 demonstrates just such an iterator
class that works on any collection that supports both len and getitem .
This class can be instantiated as SequenceIterator(data). It operates by keeping an
internal reference to the data sequence, as well as a current index into the sequence.
Each time next is called, the index is incremented, until reaching the end of
the sequence.
1 class SequenceIterator:
2
”””An iterator for any of Python s sequence types.”””
3
4
def init (self, sequence):
5
”””Create an iterator for the given sequence.”””
# keep a reference to the underlying data
6
self. seq = sequence
# will increment to 0 on first call to next
7
self. k = −1
8
9
def next (self):
10
”””Return the next element, or else raise StopIteration error.”””
# advance to next index
11
self. k += 1
12
if self. k < len(self. seq):
# return the data element
13
return(self. seq[self. k])
14
else:
15
raise StopIteration( )
# there are no more elements
16
17
def iter (self):
18
”””By convention, an iterator must return itself as an iterator.”””
19
return self
Code Fragment 2.5: An iterator class for any sequence type.
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2.3.5 Example: Range Class
As the final example for this section, we develop our own implementation of a
class that mimics Python’s built-in range class. Before introducing our class, we
discuss the history of the built-in version. Prior to Python 3 being released, range
was implemented as a function, and it returned a list instance with elements in
the specified range. For example, range(2, 10, 2) returned the list [2, 4, 6, 8].
However, a typical use of the function was to support a for-loop syntax, such as
for k in range(10000000). Unfortunately, this caused the instantiation and initialization of a list with the range of numbers. That was an unnecessarily expensive
step, in terms of both time and memory usage.
The mechanism used to support ranges in Python 3 is entirely different (to be
fair, the “new” behavior existed in Python 2 under the name xrange). It uses a
strategy known as lazy evaluation. Rather than creating a new list instance, range
is a class that can effectively represent the desired range of elements without ever
storing them explicitly in memory. To better explore the built-in range class, we
recommend that you create an instance as r = range(8, 140, 5). The result is a
relatively lightweight object, an instance of the range class, that has only a few
behaviors. The syntax len(r) will report the number of elements that are in the
given range (27, in our example). A range also supports the getitem method,
so that syntax r[15] reports the sixteenth element in the range (as r[0] is the first
element). Because the class supports both len and getitem , it inherits
automatic support for iteration (see Section 2.3.4), which is why it is possible to
execute a for loop over a range.
At this point, we are ready to demonstrate our own version of such a class. Code
Fragment 2.6 provides a class we name Range (so as to clearly differentiate it from
built-in range). The biggest challenge in the implementation is properly computing
the number of elements that belong in the range, given the parameters sent by the
caller when constructing a range. By computing that value in the constructor, and
storing it as self. length, it becomes trivial to return it from the len method. To
properly implement a call to getitem (k), we simply take the starting value of
the range plus k times the step size (i.e., for k=0, we return the start value). There
are a few subtleties worth examining in the code:
• To properly support optional parameters, we rely on the technique described
on page 27, when discussing a functional version of range.
• We compute the number of elements in the range as
max(0, (stop − start + step − 1) // step)
It is worth testing this formula for both positive and negative step sizes.
• The getitem method properly supports negative indices by converting
an index −k to len(self)−k before computing the result.
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81
1 class Range:
2
”””A class that mimic s the built-in range class.”””
3
4
def init (self, start, stop=None, step=1):
5
”””Initialize a Range instance.
6
7
Semantics is similar to built-in range class.
8
”””
9
if step == 0:
10
raise ValueError( step cannot be 0 )
11
12
if stop is None:
# special case of range(n)
13
start, stop = 0, start
# should be treated as if range(0,n)
14
15
# calculate the effective length once
16
self. length = max(0, (stop − start + step − 1) // step)
17
18
# need knowledge of start and step (but not stop) to support getitem
19
self. start = start
20
self. step = step
21
22
def len (self):
23
”””Return number of entries in the range.”””
24
return self. length
25
26
def getitem (self, k):
27
”””Return entry at index k (using standard interpretation if negative).”””
28
if k < 0:
29
k += len(self)
# attempt to convert negative index
30
31
if not 0 <= k < self. length:
32
raise IndexError( index out of range )
33
34
return self. start + k self. step
Code Fragment 2.6: Our own implementation of a Range class.
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2.4
Inheritance
A natural way to organize various structural components of a software package
is in a hierarchical fashion, with similar abstract definitions grouped together in
a level-by-level manner that goes from specific to more general as one traverses
up the hierarchy. An example of such a hierarchy is shown in Figure 2.4. Using
mathematical notations, the set of houses is a subset of the set of buildings, but a
superset of the set of ranches. The correspondence between levels is often referred
to as an “is a” relationship, as a house is a building, and a ranch is a house.
Building
Apartment
Low-rise
Apartment
Commercial
Building
House
High-rise
Apartment
Two-story
House
Ranch
Skyscraper
Figure 2.4: An example of an “is a” hierarchy involving architectural buildings.
A hierarchical design is useful in software development, as common functionality can be grouped at the most general level, thereby promoting reuse of code,
while differentiated behaviors can be viewed as extensions of the general case, In
object-oriented programming, the mechanism for a modular and hierarchical organization is a technique known as inheritance. This allows a new class to be defined
based upon an existing class as the starting point. In object-oriented terminology,
the existing class is typically described as the base class, parent class, or superclass, while the newly defined class is known as the subclass or child class.
There are two ways in which a subclass can differentiate itself from its superclass. A subclass may specialize an existing behavior by providing a new implementation that overrides an existing method. A subclass may also extend its
superclass by providing brand new methods.
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83
Python’s Exception Hierarchy
Another example of a rich inheritance hierarchy is the organization of various exception types in Python. We introduced many of those classes in Section 1.7, but
did not discuss their relationship with each other. Figure 2.5 illustrates a (small)
portion of that hierarchy. The BaseException class is the root of the entire hierarchy, while the more specific Exception class includes most of the error types that
we have discussed. Programmers are welcome to define their own special exception
classes to denote errors that may occur in the context of their application. Those
user-defined exception types should be declared as subclasses of Exception.
BaseException
SystemExit
Exception
KeyboardInterrupt
LookupError
ValueError
IndexError
ArithmeticError
KeyError
ZeroDivisionError
Figure 2.5: A portion of Python’s hierarchy of exception types.
2.4.1 Extending the CreditCard Class
To demonstrate the mechanisms for inheritance in Python, we revisit the CreditCard
class of Section 2.3, implementing a subclass that, for lack of a better name, we
name PredatoryCreditCard. The new class will differ from the original in two
ways: (1) if an attempted charge is rejected because it would have exceeded the
credit limit, a $5 fee will be charged, and (2) there will be a mechanism for assessing a monthly interest charge on the outstanding balance, based upon an Annual
Percentage Rate (APR) specified as a constructor parameter.
In accomplishing this goal, we demonstrate the techniques of specialization
and extension. To charge a fee for an invalid charge attempt, we override the
existing charge method, thereby specializing it to provide the new functionality
(although the new version takes advantage of a call to the overridden version). To
provide support for charging interest, we extend the class with a new method named
process month.
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Chapter 2. Object-Oriented Programming
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CreditCard
Class:
customer
bank
account
Fields:
Behaviors:
get customer( )
get bank( )
get account( )
make payment(amount)
balance
limit
get balance( )
get limit( )
charge(price)
PredatoryCreditCard
Class:
apr
Fields:
Behaviors:
process month( )
charge(price)
Figure 2.6: Diagram of an inheritance relationship.
Figure 2.6 provides an overview of our use of inheritance in designing the new
PredatoryCreditCard class, and Code Fragment 2.7 gives a complete Python implementation of that class.
To indicate that the new class inherits from the existing CreditCard class, our
definition begins with the syntax, class PredatoryCreditCard(CreditCard). The
init , charge, and
body of the new class provides three member functions:
process month. The init constructor serves a very similar role to the original
CreditCard constructor, except that for our new class, there is an extra parameter
to specify the annual percentage rate. The body of our new constructor relies upon
making a call to the inherited constructor to perform most of the initialization (in
fact, everything other than the recording of the percentage rate). The mechanism
for calling the inherited constructor relies on the syntax, super( ). Specifically, at
line 15 the command
super( ).
init
(customer, bank, acnt, limit)
calls the init method that was inherited from the CreditCard superclass. Note
well that this method only accepts four parameters. We record the APR value in a
new field named apr.
In similar fashion, our PredatoryCreditCard class provides a new implementation of the charge method that overrides the inherited method. Yet, our implementation of the new method relies on a call to the inherited method, with syntax
super( ).charge(price) at line 24. The return value of that call designates whether
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2.4. Inheritance
85
1 class PredatoryCreditCard(CreditCard):
2
”””An extension to CreditCard that compounds interest and fees.”””
3
4
def init (self, customer, bank, acnt, limit, apr):
5
”””Create a new predatory credit card instance.
6
7
The initial balance is zero.
8
9
customer the name of the customer (e.g., John Bowman )
10
bank
the name of the bank (e.g., California Savings )
11
acnt
the acount identifier (e.g., 5391 0375 9387 5309 )
12
limit
credit limit (measured in dollars)
13
apr
annual percentage rate (e.g., 0.0825 for 8.25% APR)
14
”””
# call super constructor
15
super( ). init (customer, bank, acnt, limit)
16
self. apr = apr
17
18
def charge(self, price):
19
”””Charge given price to the card, assuming sufficient credit limit.
20
21
Return True if charge was processed.
22
Return False and assess 5 fee if charge is denied.
23
”””
24
success = super( ).charge(price)
# call inherited method
25
if not success:
# assess penalty
26
self. balance += 5
27
return success
# caller expects return value
28
29
def process month(self):
30
”””Assess monthly interest on outstanding balance.”””
31
if self. balance > 0:
32
# if positive balance, convert APR to monthly multiplicative factor
33
monthly factor = pow(1 + self. apr, 1/12)
34
self. balance = monthly factor
Code Fragment 2.7: A subclass of CreditCard that assesses interest and fees.
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Chapter 2. Object-Oriented Programming
86
the charge was successful. We examine that return value to decide whether to assess a fee, and in turn we return that value to the caller of method, so that the new
version of charge has a similar outward interface as the original.
The process month method is a new behavior, so there is no inherited version
upon which to rely. In our model, this method should be invoked by the bank,
once each month, to add new interest charges to the customer’s balance. The most
challenging aspect in implementing this method is making sure we have working
knowledge of how an annual percentage rate translates to a monthly rate. We do
not simply divide the annual rate by twelve to get a monthly rate (that would be too
predatory, as it would result in a higher APR than advertised). The correct computation is to take the twelfth-root of 1 + self. apr, and use that as a multiplicative
factor. For example, if the APR is 0.0825 (representing 8.25%), we compute
√
12
1.0825 ≈ 1.006628, and therefore charge 0.6628% interest per month. In this
way, each $100 of debt will amass $8.25 of compounded interest in a year.
Protected Members
Our PredatoryCreditCard subclass directly accesses the data member self. balance,
which was established by the parent CreditCard class. The underscored name, by
convention, suggests that this is a nonpublic member, so we might ask if it is okay
that we access it in this fashion. While general users of the class should not be
doing so, our subclass has a somewhat privileged relationship with the superclass.
Several object-oriented languages (e.g., Java, C++) draw a distinction for nonpublic members, allowing declarations of protected or private access modes. Members
that are declared as protected are accessible to subclasses, but not to the general
public, while members that are declared as private are not accessible to either. In
this respect, we are using balance as if it were protected (but not private).
Python does not support formal access control, but names beginning with a single underscore are conventionally akin to protected, while names beginning with a
double underscore (other than special methods) are akin to private. In choosing to
use protected data, we have created a dependency in that our PredatoryCreditCard
class might be compromised if the author of the CreditCard class were to change
the internal design. Note that we could have relied upon the public get balance( )
method to retrieve the current balance within the process month method. But the
current design of the CreditCard class does not afford an effective way for a subclass to change the balance, other than by direct manipulation of the data member.
It may be tempting to use charge to add fees or interest to the balance. However,
that method does not allow the balance to go above the customer’s credit limit,
even though a bank would presumably let interest compound beyond the credit
limit, if warranted. If we were to redesign the original CreditCard class, we might
add a nonpublic method, set balance, that could be used by subclasses to affect a
change without directly accessing the data member balance.
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87
2.4.2 Hierarchy of Numeric Progressions
As a second example of the use of inheritance, we develop a hierarchy of classes for
iterating numeric progressions. A numeric progression is a sequence of numbers,
where each number depends on one or more of the previous numbers. For example,
an arithmetic progression determines the next number by adding a fixed constant
to the previous value, and a geometric progression determines the next number
by multiplying the previous value by a fixed constant. In general, a progression
requires a first value, and a way of identifying a new value based on one or more
previous values.
To maximize reusability of code, we develop a hierarchy of classes stemming
from a general base class that we name Progression (see Figure 2.7). Technically,
the Progression class produces the progression of whole numbers: 0, 1, 2, . . . .
However, this class is designed to serve as the base class for other progression types,
providing as much common functionality as possible, and thereby minimizing the
burden on the subclasses.
Progression
ArithmeticProgression
GeometricProgression
FibonacciProgression
Figure 2.7: Our hierarchy of progression classes.
Our implementation of the basic Progression class is provided in Code Fragment 2.8. The constructor for this class accepts a starting value for the progression
(0 by default), and initializes a data member, self. current, to that value.
The Progression class implements the conventions of a Python iterator (see
Section 2.3.4), namely the special next and iter methods. If a user of
the class creates a progression as seq = Progression( ), each call to next(seq) will
return a subsequent element of the progression sequence. It would also be possible to use a for-loop syntax, for value in seq:, although we note that our default
progression is defined as an infinite sequence.
To better separate the mechanics of the iterator convention from the core logic
of advancing the progression, our framework relies on a nonpublic method named
advance to update the value of the self. current field. In the default implementation, advance adds one to the current value, but our intent is that subclasses will
override advance to provide a different rule for computing the next entry.
For convenience, the Progression class also provides a utility method, named
print progression, that displays the next n values of the progression.
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Chapter 2. Object-Oriented Programming
1 class Progression:
2
”””Iterator producing a generic progression.
3
4
Default iterator produces the whole numbers 0, 1, 2, ...
5
”””
6
7
def init (self, start=0):
8
”””Initialize current to the first value of the progression.”””
9
self. current = start
10
11
def advance(self):
12
”””Update self. current to a new value.
13
14
This should be overridden by a subclass to customize progression.
15
16
By convention, if current is set to None, this designates the
17
end of a finite progression.
18
”””
19
self. current += 1
20
21
def next (self):
22
”””Return the next element, or else raise StopIteration error.”””
# our convention to end a progression
23
if self. current is None:
24
raise StopIteration( )
25
else:
# record current value to return
26
answer = self. current
# advance to prepare for next time
27
self. advance( )
28
return answer
# return the answer
29
30
def iter (self):
31
”””By convention, an iterator must return itself as an iterator.”””
32
return self
33
34
def print progression(self, n):
35
”””Print next n values of the progression.”””
.join(str(next(self)) for j in range(n)))
36
print(
Code Fragment 2.8: A general numeric progression class.
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2.4. Inheritance
89
An Arithmetic Progression Class
Our first example of a specialized progression is an arithmetic progression. While
the default progression increases its value by one in each step, an arithmetic progression adds a fixed constant to one term of the progression to produce the next.
For example, using an increment of 4 for an arithmetic progression that starts at 0
results in the sequence 0, 4, 8, 12, . . . .
Code Fragment 2.9 presents our implementation of an ArithmeticProgression
class, which relies on Progression as its base class. The constructor for this new
class accepts both an increment value and a starting value as parameters, although
default values for each are provided. By our convention, ArithmeticProgression(4)
produces the sequence 0, 4, 8, 12, . . . , and ArithmeticProgression(4, 1) produces
the sequence 1, 5, 9, 13, . . . .
The body of the ArithmeticProgression constructor calls the super constructor
to initialize the current data member to the desired start value. Then it directly
establishes the new increment data member for the arithmetic progression. The
only remaining detail in our implementation is to override the advance method so
as to add the increment to the current value.
1 class ArithmeticProgression(Progression):
# inherit from Progression
2
”””Iterator producing an arithmetic progression.”””
3
4
def init (self, increment=1, start=0):
5
”””Create a new arithmetic progression.
6
7
increment the fixed constant to add to each term (default 1)
8
start
the first term of the progression (default 0)
9
”””
# initialize base class
10
super( ). init (start)
11
self. increment = increment
12
# override inherited version
13
def advance(self):
14
”””Update current value by adding the fixed increment.”””
15
self. current += self. increment
Code Fragment 2.9: A class that produces an arithmetic progression.
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Chapter 2. Object-Oriented Programming
A Geometric Progression Class
Our second example of a specialized progression is a geometric progression, in
which each value is produced by multiplying the preceding value by a fixed constant, known as the base of the geometric progression. The starting point of a geometric progression is traditionally 1, rather than 0, because multiplying 0 by any
factor results in 0. As an example, a geometric progression with base 2 proceeds as
1, 2, 4, 8, 16, . . . .
Code Fragment 2.10 presents our implementation of a GeometricProgression
class. The constructor uses 2 as a default base and 1 as a default starting value, but
either of those can be varied using optional parameters.
1 class GeometricProgression(Progression):
# inherit from Progression
2
”””Iterator producing a geometric progression.”””
3
4
def init (self, base=2, start=1):
5
”””Create a new geometric progression.
6
7
base
the fixed constant multiplied to each term (default 2)
8
start
the first term of the progression (default 1)
9
”””
10
super( ). init (start)
11
self. base = base
12
# override inherited version
13
def advance(self):
14
”””Update current value by multiplying it by the base value.”””
15
self. current = self. base
Code Fragment 2.10: A class that produces a geometric progression.
A Fibonacci Progression Class
As our final example, we demonstrate how to use our progression framework to
produce a Fibonacci progression. We originally discussed the Fibonacci series
on page 41 in the context of generators. Each value of a Fibonacci series is the
sum of the two most recent values. To begin the series, the first two values are
conventionally 0 and 1, leading to the Fibonacci series 0, 1, 1, 2, 3, 5, 8, . . . . More
generally, such a series can be generated from any two starting values. For example,
if we start with values 4 and 6, the series proceeds as 4, 6, 10, 16, 26, 42, . . . .
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91
1 class FibonacciProgression(Progression):
2
”””Iterator producing a generalized Fibonacci progression.”””
3
4
def init (self, first=0, second=1):
5
”””Create a new fibonacci progression.
6
7
first
the first term of the progression (default 0)
8
second
the second term of the progression (default 1)
9
”””
# start progression at first
10
super( ). init (first)
# fictitious value preceding the first
11
self. prev = second − first
12
13
def advance(self):
14
”””Update current value by taking sum of previous two.”””
15
self. prev, self. current = self. current, self. prev + self. current
Code Fragment 2.11: A class that produces a Fibonacci progression.
We use our progression framework to define a new FibonacciProgression class,
as shown in Code Fragment 2.11. This class is markedly different from those for the
arithmetic and geometric progressions because we cannot determine the next value
of a Fibonacci series solely from the current one. We must maintain knowledge of
the two most recent values. The base Progression class already provides storage
of the most recent value as the current data member. Our FibonacciProgression
class introduces a new member, named prev, to store the value that proceeded the
current one.
With both previous values stored, the implementation of advance is relatively
straightforward. (We use a simultaneous assignment similar to that on page 45.)
However, the question arises as to how to initialize the previous value in the constructor. The desired first and second values are provided as parameters to the
constructor. The first should be stored as current so that it becomes the first
one that is reported. Looking ahead, once the first value is reported, we will do
an assignment to set the new current value (which will be the second value reported), equal to the first value plus the “previous.” By initializing the previous
value to (second − first), the initial advancement will set the new current value to
first + (second − first) = second, as desired.
Testing Our Progressions
To complete our presentation, Code Fragment 2.12 provides a unit test for all of
our progression classes, and Code Fragment 2.13 shows the output of that test.
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Chapter 2. Object-Oriented Programming
92
if
name == __main__ :
print( Default progression: )
Progression( ).print progression(10)
print( Arithmetic progression with increment 5: )
ArithmeticProgression(5).print progression(10)
print( Arithmetic progression with increment 5 and start 2: )
ArithmeticProgression(5, 2).print progression(10)
print( Geometric progression with default base: )
GeometricProgression( ).print progression(10)
print( Geometric progression with base 3: )
GeometricProgression(3).print progression(10)
print( Fibonacci progression with default start values: )
FibonacciProgression( ).print progression(10)
print( Fibonacci progression with start values 4 and 6: )
FibonacciProgression(4, 6).print progression(10)
Code Fragment 2.12: Unit tests for our progression classes.
Default progression:
0123456789
Arithmetic progression with increment 5:
0 5 10 15 20 25 30 35 40 45
Arithmetic progression with increment 5 and start 2:
2 7 12 17 22 27 32 37 42 47
Geometric progression with default base:
1 2 4 8 16 32 64 128 256 512
Geometric progression with base 3:
1 3 9 27 81 243 729 2187 6561 19683
Fibonacci progression with default start values:
0 1 1 2 3 5 8 13 21 34
Fibonacci progression with start values 4 and 6:
4 6 10 16 26 42 68 110 178 288
Code Fragment 2.13: Output of the unit tests from Code Fragment 2.12.
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93
2.4.3 Abstract Base Classes
When defining a group of classes as part of an inheritance hierarchy, one technique
for avoiding repetition of code is to design a base class with common functionality that can be inherited by other classes that need it. As an example, the hierarchy from Section 2.4.2 includes a Progression class, which serves as a base
class for three distinct subclasses: ArithmeticProgression, GeometricProgression,
and FibonacciProgression. Although it is possible to create an instance of the
Progression base class, there is little value in doing so because its behavior is simply a special case of an ArithmeticProgression with increment 1. The real purpose
of the Progression class was to centralize the implementations of behaviors that
other progressions needed, thereby streamlining the code that is relegated to those
subclasses.
In classic object-oriented terminology, we say a class is an abstract base class
if its only purpose is to serve as a base class through inheritance. More formally,
an abstract base class is one that cannot be directly instantiated, while a concrete
class is one that can be instantiated. By this definition, our Progression class is
technically concrete, although we essentially designed it as an abstract base class.
In statically typed languages such as Java and C++, an abstract base class serves
as a formal type that may guarantee one or more abstract methods. This provides
support for polymorphism, as a variable may have an abstract base class as its declared type, even though it refers to an instance of a concrete subclass. Because
there are no declared types in Python, this kind of polymorphism can be accomplished without the need for a unifying abstract base class. For this reason, there
is not as strong a tradition of defining abstract base classes in Python, although
Python’s abc module provides support for defining a formal abstract base class.
Our reason for focusing on abstract base classes in our study of data structures
is that Python’s collections module provides several abstract base classes that assist
when defining custom data structures that share a common interface with some of
Python’s built-in data structures. These rely on an object-oriented software design
pattern known as the template method pattern. The template method pattern is
when an abstract base class provides concrete behaviors that rely upon calls to
other abstract behaviors. In that way, as soon as a subclass provides definitions for
the missing abstract behaviors, the inherited concrete behaviors are well defined.
As a tangible example, the collections.Sequence abstract base class defines behaviors common to Python’s list, str, and tuple classes, as sequences that support element access via an integer index. More so, the collections.Sequence class
provides concrete implementations of methods, count, index, and contains
that can be inherited by any class that provides concrete implementations of both
len and getitem . For the purpose of illustration, we provide a sample
implementation of such a Sequence abstract base class in Code Fragment 2.14.
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Chapter 2. Object-Oriented Programming
1 from abc import ABCMeta, abstractmethod
# need these definitions
2
3 class Sequence(metaclass=ABCMeta):
4
”””Our own version of collections.Sequence abstract base class.”””
5
6
@abstractmethod
7
def len (self):
8
”””Return the length of the sequence.”””
9
10
@abstractmethod
11
def getitem (self, j):
12
”””Return the element at index j of the sequence.”””
13
14
def contains (self, val):
15
”””Return True if val found in the sequence; False otherwise.”””
16
for j in range(len(self)):
17
if self[j] == val:
# found match
18
return True
19
return False
20
21
def index(self, val):
22
”””Return leftmost index at which val is found (or raise ValueError).”””
23
for j in range(len(self)):
24
if self[j] == val:
# leftmost match
25
return j
# never found a match
26
raise ValueError( value not in sequence )
27
28
def count(self, val):
29
”””Return the number of elements equal to given value.”””
30
k=0
31
for j in range(len(self)):
32
if self[j] == val:
# found a match
33
k += 1
34
return k
Code Fragment 2.14: An abstract base class akin to collections.Sequence.
This implementation relies on two advanced Python techniques. The first is that
we declare the ABCMeta class of the abc module as a metaclass of our Sequence
class. A metaclass is different from a superclass, in that it provides a template for
the class definition itself. Specifically, the ABCMeta declaration assures that the
constructor for the class raises an error.
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The second advanced technique is the use of the @abstractmethod decorator
immediately before the len and getitem methods are declared. That declares these two particular methods to be abstract, meaning that we do not provide
an implementation within our Sequence base class, but that we expect any concrete
subclasses to support those two methods. Python enforces this expectation, by disallowing instantiation for any subclass that does not override the abstract methods
with concrete implementations.
The rest of the Sequence class definition provides tangible implementations for
other behaviors, under the assumption that the abstract len and getitem
methods will exist in a concrete subclass. If you carefully examine the source code,
the implementations of methods contains , index, and count do not rely on any
assumption about the self instances, other than that syntax len(self) and self[j] are
supported (by special methods len and getitem , respectively). Support
for iteration is automatic as well, as described in Section 2.3.4.
In the remainder of this book, we omit the formality of using the abc module.
If we need an “abstract” base class, we simply document the expectation that subclasses provide assumed functionality, without technical declaration of the methods
as abstract. But we will make use of the wonderful abstract base classes that are
defined within the collections module (such as Sequence). To use such a class, we
need only rely on standard inheritance techniques.
For example, our Range class, from Code Fragment 2.6 of Section 2.3.5, is an
example of a class that supports the len and getitem methods. But that
class does not support methods count or index. Had we originally declared it with
Sequence as a superclass, then it would also inherit the count and index methods.
The syntax for such a declaration would begin as:
class Range(collections.Sequence):
Finally, we emphasize that if a subclass provides its own implementation of
an inherited behaviors from a base class, the new definition overrides the inherited
one. This technique can be used when we have the ability to provide a more efficient implementation for a behavior than is achieved by the generic approach. As
an example, the general implementation of contains for a sequence is based
on a loop used to search for the desired value. For our Range class, there is an
opportunity for a more efficient determination of containment. For example, it
is evident that the expression, 100000 in Range(0, 2000000, 100), should evaluate to True, even without examining the individual elements of the range, because
the range starts with zero, has an increment of 100, and goes until 2 million; it
must include 100000, as that is a multiple of 100 that is between the start and
stop values. Exercise C-2.27 explores the goal of providing an implementation of
Range. contains that avoids the use of a (time-consuming) loop.
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2.5
Chapter 2. Object-Oriented Programming
Namespaces and Object-Orientation
A namespace is an abstraction that manages all of the identifiers that are defined in
a particular scope, mapping each name to its associated value. In Python, functions,
classes, and modules are all first-class objects, and so the “value” associated with
an identifier in a namespace may in fact be a function, class, or module.
In Section 1.10 we explored Python’s use of namespaces to manage identifiers
that are defined with global scope, versus those defined within the local scope of
a function call. In this section, we discuss the important role of namespaces in
Python’s management of object-orientation.
2.5.1 Instance and Class Namespaces
We begin by exploring what is known as the instance namespace, which manages attributes specific to an individual object. For example, each instance of our
CreditCard class maintains a distinct balance, a distinct account number, a distinct
credit limit, and so on (even though some instances may coincidentally have equivalent balances, or equivalent credit limits). Each credit card will have a dedicated
instance namespace to manage such values.
There is a separate class namespace for each class that has been defined. This
namespace is used to manage members that are to be shared by all instances of
a class, or used without reference to any particular instance. For example, the
make payment method of the CreditCard class from Section 2.3 is not stored
independently by each instance of that class. That member function is stored
within the namespace of the CreditCard class. Based on our definition from Code
Fragments 2.1 and 2.2, the CreditCard class namespace includes the functions:
init , get customer, get bank, get account, get balance, get limit, charge,
and make payment. Our PredatoryCreditCard class has its own namespace, coninit , charge, and
taining the three methods we defined for that subclass:
process month.
Figure 2.8 provides a portrayal of three such namespaces: a class namespace
containing methods of the CreditCard class, another class namespace with methods of the PredatoryCreditCard class, and finally a single instance namespace for
a sample instance of the PredatoryCreditCard class. We note that there are two
different definitions of a function named charge, one in the CreditCard class, and
then the overriding method in the PredatoryCreditCard class. In similar fashion,
there are two distinct init implementations. However, process month is a
name that is only defined within the scope of the PredatoryCreditCard class. The
instance namespace includes all data members for the instance (including the apr
member that is established by the PredatoryCreditCard constructor).
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function
function
function
function
function
function
function
init
get customer
get bank
get account
make payment
get balance
get limit
charge
function
John Bowman
California Savings
5391 0375 9387 5309
1234.56
function
function
function
init
process month
charge
(a)
(b)
2500
0.0825
customer
bank
account
balance
limit
apr
(c)
Figure 2.8: Conceptual view of three namespaces: (a) the class namespace for
CreditCard; (b) the class namespace for PredatoryCreditCard; (c) the instance
namespace for a PredatoryCreditCard object.
How Entries Are Established in a Namespace
It is important to understand why a member such as balance resides in a credit
card’s instance namespace, while a member such as make payment resides in the
class namespace. The balance is established within the init method when a
new credit card instance is constructed. The original assignment uses the syntax,
self. balance = 0, where self is an identifier for the newly constructed instance.
The use of self as a qualifier for self. balance in such an assignment causes the
balance identifier to be added directly to the instance namespace.
When inheritance is used, there is still a single instance namespace per object.
For example, when an instance of the PredatoryCreditCard class is constructed,
the apr attribute as well as attributes such as balance and limit all reside in that
instance’s namespace, because all are assigned using a qualified syntax, such as
self. apr.
A class namespace includes all declarations that are made directly within the
body of the class definition. For example, our CreditCard class definition included
the following structure:
class CreditCard:
def make payment(self, amount):
...
Because the make payment function is declared within the scope of the CreditCard
class, that function becomes associated with the name make payment within the
CreditCard class namespace. Although member functions are the most typical
types of entries that are declared in a class namespace, we next discuss how other
types of data values, or even other classes can be declared within a class namespace.
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Class Data Members
A class-level data member is often used when there is some value, such as a constant, that is to be shared by all instances of a class. In such a case, it would
be unnecessarily wasteful to have each instance store that value in its instance
namespace. As an example, we revisit the PredatoryCreditCard introduced in Section 2.4.1. That class assesses a $5 fee if an attempted charge is denied because
of the credit limit. Our choice of $5 for the fee was somewhat arbitrary, and our
coding style would be better if we used a named variable rather than embedding
the literal value in our code. Often, the amount of such a fee is determined by the
bank’s policy and does not vary for each customer. In that case, we could define
and use a class data member as follows:
class PredatoryCreditCard(CreditCard):
OVERLIMIT FEE = 5
# this is a class-level member
def charge(self, price):
success = super( ).charge(price)
if not success:
self. balance += PredatoryCreditCard.OVERLIMIT FEE
return success
The data member, OVERLIMIT FEE, is entered into the PredatoryCreditCard
class namespace because that assignment takes place within the immediate scope
of the class definition, and without any qualifying identifier.
Nested Classes
It is also possible to nest one class definition within the scope of another class.
This is a useful construct, which we will exploit several times in this book in the
implementation of data structures. This can be done by using a syntax such as
class A:
class B:
...
# the outer class
# the nested class
In this case, class B is the nested class. The identifier B is entered into the namespace of class A associated with the newly defined class. We note that this technique
is unrelated to the concept of inheritance, as class B does not inherit from class A.
Nesting one class in the scope of another makes clear that the nested class
exists for support of the outer class. Furthermore, it can help reduce potential name
conflicts, because it allows for a similarly named class to exist in another context.
For example, we will later introduce a data structure known as a linked list and will
define a nested node class to store the individual components of the list. We will
also introduce a data structure known as a tree that depends upon its own nested
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node class. These two structures rely on different node definitions, and by nesting
those within the respective container classes, we avoid ambiguity.
Another advantage of one class being nested as a member of another is that it
allows for a more advanced form of inheritance in which a subclass of the outer
class overrides the definition of its nested class. We will make use of that technique
in Section 11.2.1 when specializing the nodes of a tree structure.
Dictionaries and the
slots
Declaration
By default, Python represents each namespace with an instance of the built-in dict
class (see Section 1.2.3) that maps identifying names in that scope to the associated
objects. While a dictionary structure supports relatively efficient name lookups,
it requires additional memory usage beyond the raw data that it stores (we will
explore the data structure used to implement dictionaries in Chapter 10).
Python provides a more direct mechanism for representing instance namespaces
that avoids the use of an auxiliary dictionary. To use the streamlined representation
for all instances of a class, that class definition must provide a class-level member
named slots that is assigned to a fixed sequence of strings that serve as names
for instance variables. For example, with our CreditCard class, we would declare
the following:
class CreditCard:
slots = _customer , _bank , _account , _balance , _limit
In this example, the right-hand side of the assignment is technically a tuple (see
discussion of automatic packing of tuples in Section 1.9.3).
When inheritance is used, if the base class declares slots , a subclass must
also declare slots to avoid creation of instance dictionaries. The declaration
in the subclass should only include names of supplemental methods that are newly
introduced. For example, our PredatoryCreditCard declaration would include the
following declaration:
class PredatoryCreditCard(CreditCard):
slots = _apr
# in addition to the inherited members
We could choose to use the slots declaration to streamline every class in
this book. However, we do not do so because such rigor would be atypical for
Python programs. With that said, there are a few classes in this book for which
we expect to have a large number of instances, each representing a lightweight
construct. For example, when discussing nested classes, we suggest linked lists
and trees as data structures that are often comprised of a large number of individual
nodes. To promote greater efficiency in memory usage, we will use an explicit
slots declaration in any nested classes for which we expect many instances.
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Chapter 2. Object-Oriented Programming
2.5.2 Name Resolution and Dynamic Dispatch
In the previous section, we discussed various namespaces, and the mechanism for
establishing entries in those namespaces. In this section, we examine the process
that is used when retrieving a name in Python’s object-oriented framework. When
the dot operator syntax is used to access an existing member, such as obj.foo, the
Python interpreter begins a name resolution process, described as follows:
1. The instance namespace is searched; if the desired name is found, its associated value is used.
2. Otherwise the class namespace, for the class to which the instance belongs,
is searched; if the name is found, its associated value is used.
3. If the name was not found in the immediate class namespace, the search continues upward through the inheritance hierarchy, checking the class namespace for each ancestor (commonly by checking the superclass class, then its
superclass class, and so on). The first time the name is found, its associate
value is used.
4. If the name has still not been found, an AttributeError is raised.
As a tangible example, let us assume that mycard identifies an instance of the
PredatoryCreditCard class. Consider the following possible usage patterns.
• mycard. balance (or equivalently, self. balance from within a method body):
the balance method is found within the instance namespace for mycard.
• mycard.process month( ): the search begins in the instance namespace, but
the name process month is not found in that namespace. As a result, the
PredatoryCreditCard class namespace is searched; in this case, the name is
found and that method is called.
• mycard.make payment(200): the search for the name, make payment, fails
in the instance namespace and in the PredatoryCreditCard namespace. The
name is resolved in the namespace for superclass CreditCard and thus the
inherited method is called.
• mycard.charge(50): the search for name charge fails in the instance namespace. The next namespace checked is for the PredatoryCreditCard class,
because that is the true type of the instance. There is a definition for a charge
function in that class, and so that is the one that is called.
In the last case shown, notice that the existence of a charge function in the
PredatoryCreditCard class has the effect of overriding the version of that function
that exists in the CreditCard namespace. In traditional object-oriented terminology, Python uses what is known as dynamic dispatch (or dynamic binding) to
determine, at run-time, which implementation of a function to call based upon the
type of the object upon which it is invoked. This is in contrast to some languages
that use static dispatching, making a compile-time decision as to which version of
a function to call, based upon the declared type of a variable.
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2.6. Shallow and Deep Copying
2.6
101
Shallow and Deep Copying
In Chapter 1, we emphasized that an assignment statement foo = bar makes the
name foo an alias for the object identified as bar. In this section, we consider
the task of making a copy of an object, rather than an alias. This is necessary in
applications when we want to subsequently modify either the original or the copy
in an independent manner.
Consider a scenario in which we manage various lists of colors, with each color
represented by an instance of a presumed color class. We let identifier warmtones
denote an existing list of such colors (e.g., oranges, browns). In this application,
we wish to create a new list named palette, which is a copy of the warmtones list.
However, we want to subsequently be able to add additional colors to palette, or
to modify or remove some of the existing colors, without affecting the contents of
warmtones. If we were to execute the command
palette = warmtones
this creates an alias, as shown in Figure 2.9. No new list is created; instead, the
new identifier palette references the original list.
warmtones
color
249
124
43
palette
list
red
green
blue
color
169
163
52
red
green
blue
Figure 2.9: Two aliases for the same list of colors.
Unfortunately, this does not meet our desired criteria, because if we subsequently
add or remove colors from “palette,” we modify the list identified as warmtones.
We can instead create a new instance of the list class by using the syntax:
palette = list(warmtones)
In this case, we explicitly call the list constructor, sending the first list as a parameter. This causes a new list to be created, as shown in Figure 2.10; however, it is
what is known as a shallow copy. The new list is initialized so that its contents are
precisely the same as the original sequence. However, Python’s lists are referential
(see page 9 of Section 1.2.3), and so the new list represents a sequence of references
to the same elements as in the first.
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warmtones
list
color
249
124
43
palette
list
color
red
green
blue
169
163
52
red
green
blue
Figure 2.10: A shallow copy of a list of colors.
This is a better situation than our first attempt, as we can legitimately add
or remove elements from palette without affecting warmtones. However, if we
edit a color instance from the palette list, we effectively change the contents of
warmtones. Although palette and warmtones are distinct lists, there remains indirect aliasing, for example, with palette[0] and warmtones[0] as aliases for the same
color instance.
We prefer that palette be what is known as a deep copy of warmtones. In a
deep copy, the new copy references its own copies of those objects referenced by
the original version. (See Figure 2.11.)
warmtones
palette
list
color
249
124
43
red
green
blue
color
red
green
blue
169
163
52
list
color
249
124
43
red
green
blue
color
169
163
52
red
green
blue
Figure 2.11: A deep copy of a list of colors.
Python’s copy Module
To create a deep copy, we could populate our list by explicitly making copies of
the original color instances, but this requires that we know how to make copies of
colors (rather than aliasing). Python provides a very convenient module, named
copy, that can produce both shallow copies and deep copies of arbitrary objects.
This module supports two functions: the copy function creates a shallow copy
of its argument, and the deepcopy function creates a deep copy of its argument.
After importing the module, we may create a deep copy for our example, as shown
in Figure 2.11, using the command:
palette = copy.deepcopy(warmtones)
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2.7. Exercises
2.7
103
Exercises
For help with exercises, please visit the site, www.wiley.com/college/goodrich.
Reinforcement
R-2.1 Give three examples of life-critical software applications.
R-2.2 Give an example of a software application in which adaptability can mean
the difference between a prolonged lifetime of sales and bankruptcy.
R-2.3 Describe a component from a text-editor GUI and the methods that it encapsulates.
R-2.4 Write a Python class, Flower, that has three instance variables of type str,
int, and float, that respectively represent the name of the flower, its number of petals, and its price. Your class must include a constructor method
that initializes each variable to an appropriate value, and your class should
include methods for setting the value of each type, and retrieving the value
of each type.
R-2.5 Use the techniques of Section 1.7 to revise the charge and make payment
methods of the CreditCard class to ensure that the caller sends a number
as a parameter.
R-2.6 If the parameter to the make payment method of the CreditCard class
were a negative number, that would have the effect of raising the balance
on the account. Revise the implementation so that it raises a ValueError if
a negative value is sent.
R-2.7 The CreditCard class of Section 2.3 initializes the balance of a new account to zero. Modify that class so that a new account can be given a
nonzero balance using an optional fifth parameter to the constructor. The
four-parameter constructor syntax should continue to produce an account
with zero balance.
R-2.8 Modify the declaration of the first for loop in the CreditCard tests, from
Code Fragment 2.3, so that it will eventually cause exactly one of the three
credit cards to go over its credit limit. Which credit card is it?
R-2.9 Implement the sub method for the Vector class of Section 2.3.3, so
that the expression u−v returns a new vector instance representing the
difference between two vectors.
R-2.10 Implement the neg method for the Vector class of Section 2.3.3, so
that the expression −v returns a new vector instance whose coordinates
are all the negated values of the respective coordinates of v.
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Chapter 2. Object-Oriented Programming
R-2.11 In Section 2.3.3, we note that our Vector class supports a syntax such as
v = u + [5, 3, 10, −2, 1], in which the sum of a vector and list returns
a new vector. However, the syntax v = [5, 3, 10, −2, 1] + u is illegal.
Explain how the Vector class definition can be revised so that this syntax
generates a new vector.
R-2.12 Implement the mul method for the Vector class of Section 2.3.3, so
that the expression v 3 returns a new vector with coordinates that are 3
times the respective coordinates of v.
R-2.13 Exercise R-2.12 asks for an implementation of mul , for the Vector
class of Section 2.3.3, to provide support for the syntax v 3. Implement
the rmul method, to provide additional support for syntax 3 v.
R-2.14 Implement the mul method for the Vector class of Section 2.3.3, so
that the expression u v returns a scalar that represents the dot product of
the vectors, that is, ∑di=1 ui · vi .
R-2.15 The Vector class of Section 2.3.3 provides a constructor that takes an integer d, and produces a d-dimensional vector with all coordinates equal to
0. Another convenient form for creating a new vector would be to send the
constructor a parameter that is some iterable type representing a sequence
of numbers, and to create a vector with dimension equal to the length of
that sequence and coordinates equal to the sequence values. For example,
Vector([4, 7, 5]) would produce a three-dimensional vector with coordinates <4, 7, 5>. Modify the constructor so that either of these forms is
acceptable; that is, if a single integer is sent, it produces a vector of that
dimension with all zeros, but if a sequence of numbers is provided, it produces a vector with coordinates based on that sequence.
R-2.16 Our Range class, from Section 2.3.5, relies on the formula
max(0, (stop − start + step − 1) // step)
to compute the number of elements in the range. It is not immediately evident why this formula provides the correct calculation, even if assuming
a positive step size. Justify this formula, in your own words.
R-2.17 Draw a class inheritance diagram for the following set of classes:
• Class Goat extends object and adds an instance variable tail and
methods milk( ) and jump( ).
• Class Pig extends object and adds an instance variable nose and
methods eat(food) and wallow( ).
• Class Horse extends object and adds instance variables height and
color, and methods run( ) and jump( ).
• Class Racer extends Horse and adds a method race( ).
• Class Equestrian extends Horse, adding an instance variable weight
and methods trot( ) and is trained( ).
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R-2.18 Give a short fragment of Python code that uses the progression classes
from Section 2.4.2 to find the 8th value of a Fibonacci progression that
starts with 2 and 2 as its first two values.
R-2.19 When using the ArithmeticProgression class of Section 2.4.2 with an increment of 128 and a start of 0, how many calls to next can we make
before we reach an integer of 263 or larger?
R-2.20 What are some potential efficiency disadvantages of having very deep inheritance trees, that is, a large set of classes, A, B, C, and so on, such that
B extends A, C extends B, D extends C, etc.?
R-2.21 What are some potential efficiency disadvantages of having very shallow
inheritance trees, that is, a large set of classes, A, B, C, and so on, such
that all of these classes extend a single class, Z?
R-2.22 The collections.Sequence abstract base class does not provide support for
comparing two sequences to each other. Modify our Sequence class from
Code Fragment 2.14 to include a definition for the eq method, so
that expression seq1 == seq2 will return True precisely when the two
sequences are element by element equivalent.
R-2.23 In similar spirit to the previous problem, augment the Sequence class with
method lt , to support lexicographic comparison seq1 < seq2.
Creativity
C-2.24 Suppose you are on the design team for a new e-book reader. What are the
primary classes and methods that the Python software for your reader will
need? You should include an inheritance diagram for this code, but you
do not need to write any actual code. Your software architecture should
at least include ways for customers to buy new books, view their list of
purchased books, and read their purchased books.
C-2.25 Exercise R-2.12 uses the mul method to support multiplying a Vector
by a number, while Exercise R-2.14 uses the mul method to support
computing a dot product of two vectors. Give a single implementation of
Vector. mul that uses run-time type checking to support both syntaxes
u v and u k, where u and v designate vector instances and k represents
a number.
C-2.26 The SequenceIterator class of Section 2.3.4 provides what is known as a
forward iterator. Implement a class named ReversedSequenceIterator that
serves as a reverse iterator for any Python sequence type. The first call to
next should return the last element of the sequence, the second call to next
should return the second-to-last element, and so forth.
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C-2.27 In Section 2.3.5, we note that our version of the Range class has implicit support for iteration, due to its explicit support of both len
and getitem . The class also receives implicit support of the Boolean
test, “k in r” for Range r. This test is evaluated based on a forward iteration through the range, as evidenced by the relative quickness of the test
2 in Range(10000000) versus 9999999 in Range(10000000). Provide a
more efficient implementation of the contains method to determine
whether a particular value lies within a given range. The running time of
your method should be independent of the length of the range.
C-2.28 The PredatoryCreditCard class of Section 2.4.1 provides a process month
method that models the completion of a monthly cycle. Modify the class
so that once a customer has made ten calls to charge in the current month,
each additional call to that function results in an additional $1 surcharge.
C-2.29 Modify the PredatoryCreditCard class from Section 2.4.1 so that a customer is assigned a minimum monthly payment, as a percentage of the
balance, and so that a late fee is assessed if the customer does not subsequently pay that minimum amount before the next monthly cycle.
C-2.30 At the close of Section 2.4.1, we suggest a model in which the CreditCard
class supports a nonpublic method, set balance(b), that could be used
by subclasses to affect a change to the balance, without directly accessing
the balance data member. Implement such a model, revising both the
CreditCard and PredatoryCreditCard classes accordingly.
C-2.31 Write a Python class that extends the Progression class so that each value
in the progression is the absolute value of the difference between the previous two values. You should include a constructor that accepts a pair of
numbers as the first two values, using 2 and 200 as the defaults.
C-2.32 Write a Python class that extends the Progression class so that each value
in the progression is the square root of the previous value. (Note that
you can no longer represent each value with an integer.) Your constructor should accept an optional parameter specifying the start value, using
65, 536 as a default.
Projects
P-2.33 Write a Python program that inputs a polynomial in standard algebraic
notation and outputs the first derivative of that polynomial.
P-2.34 Write a Python program that inputs a document and then outputs a barchart plot of the frequencies of each alphabet character that appears in
that document.
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P-2.35 Write a set of Python classes that can simulate an Internet application in
which one party, Alice, is periodically creating a set of packets that she
wants to send to Bob. An Internet process is continually checking if Alice
has any packets to send, and if so, it delivers them to Bob’s computer, and
Bob is periodically checking if his computer has a packet from Alice, and,
if so, he reads and deletes it.
P-2.36 Write a Python program to simulate an ecosystem containing two types
of creatures, bears and fish. The ecosystem consists of a river, which is
modeled as a relatively large list. Each element of the list should be a
Bear object, a Fish object, or None. In each time step, based on a random
process, each animal either attempts to move into an adjacent list location
or stay where it is. If two animals of the same type are about to collide in
the same cell, then they stay where they are, but they create a new instance
of that type of animal, which is placed in a random empty (i.e., previously
None) location in the list. If a bear and a fish collide, however, then the
fish dies (i.e., it disappears).
P-2.37 Write a simulator, as in the previous project, but add a Boolean gender
field and a floating-point strength field to each animal, using an Animal
class as a base class. If two animals of the same type try to collide, then
they only create a new instance of that type of animal if they are of different genders. Otherwise, if two animals of the same type and gender try to
collide, then only the one of larger strength survives.
P-2.38 Write a Python program that simulates a system that supports the functions of an e-book reader. You should include methods for users of your
system to “buy” new books, view their list of purchased books, and read
their purchased books. Your system should use actual books, which have
expired copyrights and are available on the Internet, to populate your set
of available books for users of your system to “purchase” and read.
P-2.39 Develop an inheritance hierarchy based upon a Polygon class that has
abstract methods area( ) and perimeter( ). Implement classes Triangle,
Quadrilateral, Pentagon, Hexagon, and Octagon that extend this base
class, with the obvious meanings for the area( ) and perimeter( ) methods.
Also implement classes, IsoscelesTriangle, EquilateralTriangle, Rectangle, and Square, that have the appropriate inheritance relationships. Finally, write a simple program that allows users to create polygons of the
various types and input their geometric dimensions, and the program then
outputs their area and perimeter. For extra effort, allow users to input
polygons by specifying their vertex coordinates and be able to test if two
such polygons are similar.
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Chapter Notes
For a broad overview of developments in computer science and engineering, we refer the
reader to The Computer Science and Engineering Handbook [96]. For more information
about the Therac-25 incident, please see the paper by Leveson and Turner [69].
The reader interested in studying object-oriented programming further, is referred to
the books by Booch [17], Budd [20], and Liskov and Guttag [71]. Liskov and Guttag
also provide a nice discussion of abstract data types, as does the survey paper by Cardelli
and Wegner [23] and the book chapter by Demurjian [33] in the The Computer Science
and Engineering Handbook [96]. Design patterns are described in the book by Gamma et
al. [41].
Books with specific focus on object-oriented programming in Python include those
by Goldwasser and Letscher [43] at the introductory level, and by Phillips [83] at a more
advanced level,
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Chapter
3
Algorithm Analysis
Contents
3.1
3.2
3.3
3.4
3.5
Experimental Studies . . . . . . . . . . .
3.1.1 Moving Beyond Experimental Analysis
The Seven Functions Used in This Book
3.2.1 Comparing Growth Rates . . . . . . .
Asymptotic Analysis . . . . . . . . . . . .
3.3.1 The “Big-Oh” Notation . . . . . . . .
3.3.2 Comparative Analysis . . . . . . . . .
3.3.3 Examples of Algorithm Analysis . . .
Simple Justification Techniques . . . . .
3.4.1 By Example . . . . . . . . . . . . . .
3.4.2 The “Contra” Attack . . . . . . . . .
3.4.3 Induction and Loop Invariants . . . .
Exercises . . . . . . . . . . . . . . . . . .
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Chapter 3. Algorithm Analysis
110
In a classic story, the famous mathematician Archimedes was asked to determine if a golden crown commissioned by the king was indeed pure gold, and not
part silver, as an informant had claimed. Archimedes discovered a way to perform
this analysis while stepping into a bath. He noted that water spilled out of the bath
in proportion to the amount of him that went in. Realizing the implications of this
fact, he immediately got out of the bath and ran naked through the city shouting,
“Eureka, eureka!” for he had discovered an analysis tool (displacement), which,
when combined with a simple scale, could determine if the king’s new crown was
good or not. That is, Archimedes could dip the crown and an equal-weight amount
of gold into a bowl of water to see if they both displaced the same amount. This
discovery was unfortunate for the goldsmith, however, for when Archimedes did
his analysis, the crown displaced more water than an equal-weight lump of pure
gold, indicating that the crown was not, in fact, pure gold.
In this book, we are interested in the design of “good” data structures and algorithms. Simply put, a data structure is a systematic way of organizing and accessing data, and an algorithm is a step-by-step procedure for performing some task in
a finite amount of time. These concepts are central to computing, but to be able to
classify some data structures and algorithms as “good,” we must have precise ways
of analyzing them.
The primary analysis tool we will use in this book involves characterizing the
running times of algorithms and data structure operations, with space usage also
being of interest. Running time is a natural measure of “goodness,” since time is a
precious resource—computer solutions should run as fast as possible. In general,
the running time of an algorithm or data structure operation increases with the input
size, although it may also vary for different inputs of the same size. Also, the running time is affected by the hardware environment (e.g., the processor, clock rate,
memory, disk) and software environment (e.g., the operating system, programming
language) in which the algorithm is implemented and executed. All other factors
being equal, the running time of the same algorithm on the same input data will be
smaller if the computer has, say, a much faster processor or if the implementation
is done in a program compiled into native machine code instead of an interpreted
implementation. We begin this chapter by discussing tools for performing experimental studies, yet also limitations to the use of experiments as a primary means
for evaluating algorithm efficiency.
Focusing on running time as a primary measure of goodness requires that we be
able to use a few mathematical tools. In spite of the possible variations that come
from different environmental factors, we would like to focus on the relationship
between the running time of an algorithm and the size of its input. We are interested
in characterizing an algorithm’s running time as a function of the input size. But
what is the proper way of measuring it? In this chapter, we “roll up our sleeves”
and develop a mathematical way of analyzing algorithms.
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3.1. Experimental Studies
3.1
111
Experimental Studies
If an algorithm has been implemented, we can study its running time by executing
it on various test inputs and recording the time spent during each execution. A
simple approach for doing this in Python is by using the time function of the time
module. This function reports the number of seconds, or fractions thereof, that have
elapsed since a benchmark time known as the epoch. The choice of the epoch is
not significant to our goal, as we can determine the elapsed time by recording the
time just before the algorithm and the time just after the algorithm, and computing
their difference, as follows:
from time import time
start time = time( )
run algorithm
end time = time( )
elapsed = end time − start time
# record the starting time
# record the ending time
# compute the elapsed time
We will demonstrate use of this approach, in Chapter 5, to gather experimental data
on the efficiency of Python’s list class. An elapsed time measured in this fashion
is a decent reflection of the algorithm efficiency, but it is by no means perfect. The
time function measures relative to what is known as the “wall clock.” Because
many processes share use of a computer’s central processing unit (or CPU), the
elapsed time will depend on what other processes are running on the computer
when the test is performed. A fairer metric is the number of CPU cycles that are
used by the algorithm. This can be determined using the clock function of the time
module, but even this measure might not be consistent if repeating the identical
algorithm on the identical input, and its granularity will depend upon the computer
system. Python includes a more advanced module, named timeit, to help automate
such evaluations with repetition to account for such variance among trials.
Because we are interested in the general dependence of running time on the size
and structure of the input, we should perform independent experiments on many
different test inputs of various sizes. We can then visualize the results by plotting
the performance of each run of the algorithm as a point with x-coordinate equal to
the input size, n, and y-coordinate equal to the running time, t. Figure 3.1 displays
such hypothetical data. This visualization may provide some intuition regarding
the relationship between problem size and execution time for the algorithm. This
may lead to a statistical analysis that seeks to fit the best function of the input size
to the experimental data. To be meaningful, this analysis requires that we choose
good sample inputs and test enough of them to be able to make sound statistical
claims about the algorithm’s running time.
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Chapter 3. Algorithm Analysis
112
500
Running Time (ms)
400
300
200
100
0
0
5000
10000
15000
Input Size
Figure 3.1: Results of an experimental study on the running time of an algorithm.
A dot with coordinates (n,t) indicates that on an input of size n, the running time
of the algorithm was measured as t milliseconds (ms).
Challenges of Experimental Analysis
While experimental studies of running times are valuable, especially when finetuning production-quality code, there are three major limitations to their use for
algorithm analysis:
• Experimental running times of two algorithms are difficult to directly compare unless the experiments are performed in the same hardware and software
environments.
• Experiments can be done only on a limited set of test inputs; hence, they
leave out the running times of inputs not included in the experiment (and
these inputs may be important).
• An algorithm must be fully implemented in order to execute it to study its
running time experimentally.
This last requirement is the most serious drawback to the use of experimental studies. At early stages of design, when considering a choice of data structures or
algorithms, it would be foolish to spend a significant amount of time implementing
an approach that could easily be deemed inferior by a higher-level analysis.
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3.1. Experimental Studies
113
3.1.1 Moving Beyond Experimental Analysis
Our goal is to develop an approach to analyzing the efficiency of algorithms that:
1. Allows us to evaluate the relative efficiency of any two algorithms in a way
that is independent of the hardware and software environment.
2. Is performed by studying a high-level description of the algorithm without
need for implementation.
3. Takes into account all possible inputs.
Counting Primitive Operations
To analyze the running time of an algorithm without performing experiments, we
perform an analysis directly on a high-level description of the algorithm (either in
the form of an actual code fragment, or language-independent pseudo-code). We
define a set of primitive operations such as the following:
• Assigning an identifier to an object
• Determining the object associated with an identifier
• Performing an arithmetic operation (for example, adding two numbers)
• Comparing two numbers
• Accessing a single element of a Python list by index
• Calling a function (excluding operations executed within the function)
• Returning from a function.
Formally, a primitive operation corresponds to a low-level instruction with an execution time that is constant. Ideally, this might be the type of basic operation that is
executed by the hardware, although many of our primitive operations may be translated to a small number of instructions. Instead of trying to determine the specific
execution time of each primitive operation, we will simply count how many primitive operations are executed, and use this number t as a measure of the running
time of the algorithm.
This operation count will correlate to an actual running time in a specific computer, for each primitive operation corresponds to a constant number of instructions,
and there are only a fixed number of primitive operations. The implicit assumption
in this approach is that the running times of different primitive operations will be
fairly similar. Thus, the number, t, of primitive operations an algorithm performs
will be proportional to the actual running time of that algorithm.
Measuring Operations as a Function of Input Size
To capture the order of growth of an algorithm’s running time, we will associate,
with each algorithm, a function f (n) that characterizes the number of primitive
operations that are performed as a function of the input size n. Section 3.2 will introduce the seven most common functions that arise, and Section 3.3 will introduce
a mathematical framework for comparing functions to each other.
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Chapter 3. Algorithm Analysis
114
Focusing on the Worst-Case Input
An algorithm may run faster on some inputs than it does on others of the same size.
Thus, we may wish to express the running time of an algorithm as the function of
the input size obtained by taking the average over all possible inputs of the same
size. Unfortunately, such an average-case analysis is typically quite challenging.
It requires us to define a probability distribution on the set of inputs, which is often
a difficult task. Figure 3.2 schematically shows how, depending on the input distribution, the running time of an algorithm can be anywhere between the worst-case
time and the best-case time. For example, what if inputs are really only of types
“A” or “D”?
An average-case analysis usually requires that we calculate expected running
times based on a given input distribution, which usually involves sophisticated
probability theory. Therefore, for the remainder of this book, unless we specify
otherwise, we will characterize running times in terms of the worst case, as a function of the input size, n, of the algorithm.
Worst-case analysis is much easier than average-case analysis, as it requires
only the ability to identify the worst-case input, which is often simple. Also, this
approach typically leads to better algorithms. Making the standard of success for an
algorithm to perform well in the worst case necessarily requires that it will do well
on every input. That is, designing for the worst case leads to stronger algorithmic
“muscles,” much like a track star who always practices by running up an incline.
Running Time (ms)
5 ms
4 ms
worst-case time
average-case time?
3 ms
best-case time
2 ms
1 ms
A
B
C
D
E
F
G
Input Instance
Figure 3.2: The difference between best-case and worst-case time. Each bar repre-
sents the running time of some algorithm on a different possible input.
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3.2. The Seven Functions Used in This Book
3.2
115
The Seven Functions Used in This Book
In this section, we briefly discuss the seven most important functions used in the
analysis of algorithms. We will use only these seven simple functions for almost
all the analysis we do in this book. In fact, a section that uses a function other
than one of these seven will be marked with a star () to indicate that it is optional.
In addition to these seven fundamental functions, Appendix B contains a list of
other useful mathematical facts that apply in the analysis of data structures and
algorithms.
The Constant Function
The simplest function we can think of is the constant function. This is the function,
f (n) = c,
for some fixed constant c, such as c = 5, c = 27, or c = 210 . That is, for any
argument n, the constant function f (n) assigns the value c. In other words, it does
not matter what the value of n is; f (n) will always be equal to the constant value c.
Because we are most interested in integer functions, the most fundamental constant function is g(n) = 1, and this is the typical constant function we use in this
book. Note that any other constant function, f (n) = c, can be written as a constant
c times g(n). That is, f (n) = cg(n) in this case.
As simple as it is, the constant function is useful in algorithm analysis, because
it characterizes the number of steps needed to do a basic operation on a computer,
like adding two numbers, assigning a value to some variable, or comparing two
numbers.
The Logarithm Function
One of the interesting and sometimes even surprising aspects of the analysis of
data structures and algorithms is the ubiquitous presence of the logarithm function,
f (n) = logb n, for some constant b > 1. This function is defined as follows:
x = logb n if and only if bx = n.
By definition, logb 1 = 0. The value b is known as the base of the logarithm.
The most common base for the logarithm function in computer science is 2,
as computers store integers in binary, and because a common operation in many
algorithms is to repeatedly divide an input in half. In fact, this base is so common
that we will typically omit it from the notation when it is 2. That is, for us,
log n = log2 n.
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Chapter 3. Algorithm Analysis
116
We note that most handheld calculators have a button marked LOG, but this is
typically for calculating the logarithm base-10, not base-two.
Computing the logarithm function exactly for any integer n involves the use
of calculus, but we can use an approximation that is good enough for our purposes without calculus. In particular, we can easily compute the smallest integer
greater than or equal to logb n (its so-called ceiling, logb n). For positive integer,
n, this value is equal to the number of times we can divide n by b before we get
a number less than or equal to 1. For example, the evaluation of log3 27 is 3,
because ((27/3)/3)/3 = 1. Likewise, log4 64 is 3, because ((64/4)/4)/4 = 1,
and log2 12 is 4, because (((12/2)/2)/2)/2 = 0.75 ≤ 1.
The following proposition describes several important identities that involve
logarithms for any base greater than 1.
Proposition 3.1 (Logarithm Rules): Given real numbers a > 0, b > 1, c > 0
and d > 1, we have:
1.
2.
3.
4.
5.
logb (ac) = logb a + logb c
logb (a/c) = logb a − logb c
logb (ac ) = c logb a
logb a = logd a/ logd b
blogd a = alogd b
By convention, the unparenthesized notation lognc denotes the value log(nc ).
We use a notational shorthand, logc n, to denote the quantity, (log n)c , in which the
result of the logarithm is raised to a power.
The above identities can be derived from converse rules for exponentiation that
we will present on page 121. We illustrate these identities with a few examples.
Example 3.2: We demonstrate below some interesting applications of the logarithm rules from Proposition 3.1 (using the usual convention that the base of a
logarithm is 2 if it is omitted).
•
•
•
•
•
•
log(2n) = log 2 + log n = 1 + log n, by rule 1
log(n/2) = log n − log 2 = log n − 1, by rule 2
log n3 = 3 log n, by rule 3
log 2n = n log 2 = n · 1 = n, by rule 3
log4 n = (log n)/ log 4 = (log n)/2, by rule 4
2log n = nlog 2 = n1 = n, by rule 5.
As a practical matter, we note that rule 4 gives us a way to compute the base-two
logarithm on a calculator that has a base-10 logarithm button, LOG, for
log2 n = LOG n / LOG 2.
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3.2. The Seven Functions Used in This Book
117
The Linear Function
Another simple yet important function is the linear function,
f (n) = n.
That is, given an input value n, the linear function f assigns the value n itself.
This function arises in algorithm analysis any time we have to do a single basic
operation for each of n elements. For example, comparing a number x to each
element of a sequence of size n will require n comparisons. The linear function
also represents the best running time we can hope to achieve for any algorithm that
processes each of n objects that are not already in the computer’s memory, because
reading in the n objects already requires n operations.
The N-Log-N Function
The next function we discuss in this section is the n-log-n function,
f (n) = n log n,
that is, the function that assigns to an input n the value of n times the logarithm
base-two of n. This function grows a little more rapidly than the linear function and
a lot less rapidly than the quadratic function; therefore, we would greatly prefer an
algorithm with a running time that is proportional to n log n, than one with quadratic
running time. We will see several important algorithms that exhibit a running time
proportional to the n-log-n function. For example, the fastest possible algorithms
for sorting n arbitrary values require time proportional to n log n.
The Quadratic Function
Another function that appears often in algorithm analysis is the quadratic function,
f (n) = n2 .
That is, given an input value n, the function f assigns the product of n with itself
(in other words, “n squared”).
The main reason why the quadratic function appears in the analysis of algorithms is that there are many algorithms that have nested loops, where the inner
loop performs a linear number of operations and the outer loop is performed a
linear number of times. Thus, in such cases, the algorithm performs n · n = n2
operations.
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Chapter 3. Algorithm Analysis
118
Nested Loops and the Quadratic Function
The quadratic function can also arise in the context of nested loops where the first
iteration of a loop uses one operation, the second uses two operations, the third uses
three operations, and so on. That is, the number of operations is
1 + 2 + 3 + · · · + (n − 2) + (n − 1) + n.
In other words, this is the total number of operations that will be performed by the
nested loop if the number of operations performed inside the loop increases by one
with each iteration of the outer loop. This quantity also has an interesting history.
In 1787, a German schoolteacher decided to keep his 9- and 10-year-old pupils
occupied by adding up the integers from 1 to 100. But almost immediately one
of the children claimed to have the answer! The teacher was suspicious, for the
student had only the answer on his slate. But the answer, 5050, was correct and the
student, Carl Gauss, grew up to be one of the greatest mathematicians of his time.
We presume that young Gauss used the following identity.
Proposition 3.3: For any integer n ≥ 1, we have:
1 + 2 + 3 + · · · + (n − 2) + (n − 1) + n =
n(n + 1)
.
2
We give two “visual” justifications of Proposition 3.3 in Figure 3.3.
n
n+1
n
...
...
3
3
2
2
1
1
0
1
2
3
n
0
1
2
n/2
(a)
(b)
Figure 3.3: Visual justifications of Proposition 3.3. Both illustrations visualize the
identity in terms of the total area covered by n unit-width rectangles with heights
1, 2, . . . , n. In (a), the rectangles are shown to cover a big triangle of area n2 /2 (base
n and height n) plus n small triangles of area 1/2 each (base 1 and height 1). In
(b), which applies only when n is even, the rectangles are shown to cover a big
rectangle of base n/2 and height n + 1.
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3.2. The Seven Functions Used in This Book
119
The lesson to be learned from Proposition 3.3 is that if we perform an algorithm
with nested loops such that the operations in the inner loop increase by one each
time, then the total number of operations is quadratic in the number of times, n,
we perform the outer loop. To be fair, the number of operations is n2 /2 + n/2,
and so this is just over half the number of operations than an algorithm that uses n
operations each time the inner loop is performed. But the order of growth is still
quadratic in n.
The Cubic Function and Other Polynomials
Continuing our discussion of functions that are powers of the input, we consider
the cubic function,
f (n) = n3 ,
which assigns to an input value n the product of n with itself three times. This function appears less frequently in the context of algorithm analysis than the constant,
linear, and quadratic functions previously mentioned, but it does appear from time
to time.
Polynomials
Most of the functions we have listed so far can each be viewed as being part of a
larger class of functions, the polynomials. A polynomial function has the form,
f (n) = a0 + a1 n + a2 n2 + a3 n3 + · · · + ad nd ,
where a0 , a1 , . . . , ad are constants, called the coefficients of the polynomial, and
ad = 0. Integer d, which indicates the highest power in the polynomial, is called
the degree of the polynomial.
For example, the following functions are all polynomials:
•
•
•
•
•
f (n) = 2 + 5n + n2
f (n) = 1 + n3
f (n) = 1
f (n) = n
f (n) = n2
Therefore, we could argue that this book presents just four important functions used
in algorithm analysis, but we will stick to saying that there are seven, since the constant, linear, and quadratic functions are too important to be lumped in with other
polynomials. Running times that are polynomials with small degree are generally
better than polynomial running times with larger degree.
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Chapter 3. Algorithm Analysis
120
Summations
A notation that appears again and again in the analysis of data structures and algorithms is the summation, which is defined as follows:
b
∑ f (i) = f (a) + f (a + 1) + f (a + 2) + · · · + f (b),
i=a
where a and b are integers and a ≤ b. Summations arise in data structure and algorithm analysis because the running times of loops naturally give rise to summations.
Using a summation, we can rewrite the formula of Proposition 3.3 as
n
∑i=
i=1
n(n + 1)
.
2
Likewise, we can write a polynomial f (n) of degree d with coefficients a0 , . . . , ad as
d
f (n) = ∑ ai ni .
i=0
Thus, the summation notation gives us a shorthand way of expressing sums of increasing terms that have a regular structure.
The Exponential Function
Another function used in the analysis of algorithms is the exponential function,
f (n) = bn ,
where b is a positive constant, called the base, and the argument n is the exponent.
That is, function f (n) assigns to the input argument n the value obtained by multiplying the base b by itself n times. As was the case with the logarithm function,
the most common base for the exponential function in algorithm analysis is b = 2.
For example, an integer word containing n bits can represent all the nonnegative
integers less than 2n . If we have a loop that starts by performing one operation
and then doubles the number of operations performed with each iteration, then the
number of operations performed in the nth iteration is 2n .
We sometimes have other exponents besides n, however; hence, it is useful
for us to know a few handy rules for working with exponents. In particular, the
following exponent rules are quite helpful.
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3.2. The Seven Functions Used in This Book
121
Proposition 3.4 (Exponent Rules): Given positive integers a, b, and c, we have
1. (ba )c = bac
2. ba bc = ba+c
3. ba /bc = ba−c
For example, we have the following:
• 256 = 162 = (24 )2 = 24·2 = 28 = 256 (Exponent Rule 1)
• 243 = 35 = 32+3 = 32 33 = 9 · 27 = 243 (Exponent Rule 2)
• 16 = 1024/64 = 210 /26 = 210−6 = 24 = 16 (Exponent Rule 3)
We can extend the exponential function to exponents that are fractions or real
numbers and to negative exponents, as follows. Given a positive integer k, we define b1/k to be kth root of b, that is, the number r such that rk = b. For example,
251/2 = 5, since 52 = 25. Likewise, 271/3 = 3 and 161/4 = 2. This approach allows us to define any power whose exponent can be expressed as a fraction, for
ba/c = (ba )1/c , by Exponent Rule 1. For example, 93/2 = (93 )1/2 = 7291/2 = 27.
Thus, ba/c is really just the cth root of the integral exponent ba .
We can further extend the exponential function to define bx for any real number
x, by computing a series of numbers of the form ba/c for fractions a/c that get progressively closer and closer to x. Any real number x can be approximated arbitrarily
closely by a fraction a/c; hence, we can use the fraction a/c as the exponent of b
to get arbitrarily close to bx . For example, the number 2π is well defined. Finally,
given a negative exponent d, we define bd = 1/b−d , which corresponds to applying
Exponent Rule 3 with a = 0 and c = −d. For example, 2−3 = 1/23 = 1/8.
Geometric Sums
Suppose we have a loop for which each iteration takes a multiplicative factor longer
than the previous one. This loop can be analyzed using the following proposition.
Proposition 3.5: For any integer n ≥ 0 and any real number a such that a > 0 and
a = 1, consider the summation
n
∑ ai = 1 + a + a2 + · · · + an
i=0
(remembering that
a0
= 1 if a > 0). This summation is equal to
an+1 − 1
.
a−1
Summations as shown in Proposition 3.5 are called geometric summations, because each term is geometrically larger than the previous one if a > 1. For example,
everyone working in computing should know that
1 + 2 + 4 + 8 + · · · + 2n−1 = 2n − 1,
for this is the largest integer that can be represented in binary notation using n bits.
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Chapter 3. Algorithm Analysis
122
3.2.1 Comparing Growth Rates
To sum up, Table 3.1 shows, in order, each of the seven common functions used in
algorithm analysis.
constant
1
logarithm
log n
linear
n
n-log-n
n log n
quadratic
n2
cubic
n3
exponential
an
Table 3.1: Classes of functions. Here we assume that a > 1 is a constant.
f (n)
Ideally, we would like data structure operations to run in times proportional
to the constant or logarithm function, and we would like our algorithms to run in
linear or n-log-n time. Algorithms with quadratic or cubic running times are less
practical, and algorithms with exponential running times are infeasible for all but
the smallest sized inputs. Plots of the seven functions are shown in Figure 3.4.
1044
1040
1036
1032
1028
1024
1020
1016
1012
108
104
100
Exponential
Cubic
Quadratic
N-Log-N
Linear
Logarithmic
Constant
100 101 102 103 104 105 106 107 108 109 1010 1011 1012 1013 1014 1015
n
Figure 3.4: Growth rates for the seven fundamental functions used in algorithm
analysis. We use base a = 2 for the exponential function. The functions are plotted
on a log-log chart, to compare the growth rates primarily as slopes. Even so, the
exponential function grows too fast to display all its values on the chart.
The Ceiling and Floor Functions
One additional comment concerning the functions above is in order. When discussing logarithms, we noted that the value is generally not an integer, yet the
running time of an algorithm is usually expressed by means of an integer quantity,
such as the number of operations performed. Thus, the analysis of an algorithm
may sometimes involve the use of the floor function and ceiling function, which
are defined respectively as follows:
• x = the largest integer less than or equal to x.
• x = the smallest integer greater than or equal to x.
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3.3. Asymptotic Analysis
3.3
123
Asymptotic Analysis
In algorithm analysis, we focus on the growth rate of the running time as a function
of the input size n, taking a “big-picture” approach. For example, it is often enough
just to know that the running time of an algorithm grows proportionally to n.
We analyze algorithms using a mathematical notation for functions that disregards constant factors. Namely, we characterize the running times of algorithms
by using functions that map the size of the input, n, to values that correspond to
the main factor that determines the growth rate in terms of n. This approach reflects that each basic step in a pseudo-code description or a high-level language
implementation may correspond to a small number of primitive operations. Thus,
we can perform an analysis of an algorithm by estimating the number of primitive
operations executed up to a constant factor, rather than getting bogged down in
language-specific or hardware-specific analysis of the exact number of operations
that execute on the computer.
As a tangible example, we revisit the goal of finding the largest element of a
Python list; we first used this example when introducing for loops on page 21 of
Section 1.4.2. Code Fragment 3.1 presents a function named find max for this task.
1 def find max(data):
2
”””Return the maximum element from a nonempty Python list.”””
3
biggest = data[0]
# The initial value to beat
4
for val in data:
# For each value:
5
if val > biggest
# if it is greater than the best so far,
6
biggest = val
# we have found a new best (so far)
7
return biggest
# When loop ends, biggest is the max
Code Fragment 3.1: A function that returns the maximum value of a Python list.
This is a classic example of an algorithm with a running time that grows proportional to n, as the loop executes once for each data element, with some fixed
number of primitive operations executing for each pass. In the remainder of this
section, we provide a framework to formalize this claim.
3.3.1 The “Big-Oh” Notation
Let f (n) and g(n) be functions mapping positive integers to positive real numbers.
We say that f (n) is O(g(n)) if there is a real constant c > 0 and an integer constant
n0 ≥ 1 such that
f (n) ≤ cg(n), for n ≥ n0 .
This definition is often referred to as the “big-Oh” notation, for it is sometimes pronounced as “ f (n) is big-Oh of g(n).” Figure 3.5 illustrates the general definition.
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Chapter 3. Algorithm Analysis
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Running Time
cg(n)
f(n)
n0
Input Size
Figure 3.5: Illustrating the “big-Oh” notation. The function f (n) is O(g(n)), since
f (n) ≤ c · g(n) when n ≥ n0 .
Example 3.6: The function 8n + 5 is O(n).
Justification: By the big-Oh definition, we need to find a real constant c > 0 and
an integer constant n0 ≥ 1 such that 8n + 5 ≤ cn for every integer n ≥ n0 . It is easy
to see that a possible choice is c = 9 and n0 = 5. Indeed, this is one of infinitely
many choices available because there is a trade-off between c and n0 . For example,
we could rely on constants c = 13 and n0 = 1.
The big-Oh notation allows us to say that a function f (n) is “less than or equal
to” another function g(n) up to a constant factor and in the asymptotic sense as n
grows toward infinity. This ability comes from the fact that the definition uses “≤”
to compare f (n) to a g(n) times a constant, c, for the asymptotic cases when n ≥ n0 .
However, it is considered poor taste to say “ f (n) ≤ O(g(n)),” since the big-Oh
already denotes the “less-than-or-equal-to” concept. Likewise, although common,
it is not fully correct to say “ f (n) = O(g(n)),” with the usual understanding of the
“=” relation, because there is no way to make sense of the symmetric statement,
“O(g(n)) = f (n).” It is best to say,
“ f (n) is O(g(n)).”
Alternatively, we can say “ f (n) is order of g(n).” For the more mathematically
inclined, it is also correct to say, “ f (n) ∈ O(g(n)),” for the big-Oh notation, technically speaking, denotes a whole collection of functions. In this book, we will stick
to presenting big-Oh statements as “ f (n) is O(g(n)).” Even with this interpretation,
there is considerable freedom in how we can use arithmetic operations with the bigOh notation, and with this freedom comes a certain amount of responsibility.
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Characterizing Running Times Using the Big-Oh Notation
The big-Oh notation is used widely to characterize running times and space bounds
in terms of some parameter n, which varies from problem to problem, but is always
defined as a chosen measure of the “size” of the problem. For example, if we
are interested in finding the largest element in a sequence, as with the find max
algorithm, we should let n denote the number of elements in that collection. Using
the big-Oh notation, we can write the following mathematically precise statement
on the running time of algorithm find max (Code Fragment 3.1) for any computer.
Proposition 3.7: The algorithm, find max, for computing the maximum element
of a list of n numbers, runs in O(n) time.
Justification: The initialization before the loop begins requires only a constant
number of primitive operations. Each iteration of the loop also requires only a constant number of primitive operations, and the loop executes n times. Therefore,
we account for the number of primitive operations being c + c · n for appropriate
constants c and c that reflect, respectively, the work performed during initialization and the loop body. Because each primitive operation runs in constant time, we
have that the running time of algorithm find max on an input of size n is at most a
constant times n; that is, we conclude that the running time of algorithm find max
is O(n).
Some Properties of the Big-Oh Notation
The big-Oh notation allows us to ignore constant factors and lower-order terms and
focus on the main components of a function that affect its growth.
Example 3.8: 5n4 + 3n3 + 2n2 + 4n + 1 is O(n4 ).
Justification: Note that 5n4 + 3n3 + 2n2 + 4n + 1 ≤ (5 + 3 + 2 + 4 + 1)n4 = cn4 ,
for c = 15, when n ≥ n0 = 1.
In fact, we can characterize the growth rate of any polynomial function.
Proposition 3.9: If f (n) is a polynomial of degree d , that is,
f (n) = a0 + a1 n + · · · + ad nd ,
and ad > 0, then f (n) is O(nd ).
Justification:
Note that, for n ≥ 1, we have 1 ≤ n ≤ n2 ≤ · · · ≤ nd ; hence,
a0 + a1 n + a2 n2 + · · · + ad nd ≤ (|a0 | + |a1 | + |a2 | + · · · + |ad |) nd .
We show that f (n) is O(nd ) by defining c = |a0 | + |a1 | + · · · + |ad | and n0 = 1.
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Thus, the highest-degree term in a polynomial is the term that determines the
asymptotic growth rate of that polynomial. We consider some additional properties
of the big-Oh notation in the exercises. Let us consider some further examples here,
focusing on combinations of the seven fundamental functions used in algorithm
design. We rely on the mathematical fact that logn ≤ n for n ≥ 1.
Example 3.10: 5n2 + 3n log n + 2n + 5 is O(n2 ).
Justification: 5n2 + 3n log n+ 2n+ 5 ≤ (5+ 3+ 2+ 5)n2 = cn2 , for c = 15, when
n ≥ n0 = 1.
Example 3.11: 20n3 + 10n log n + 5 is O(n3 ).
Justification:
20n3 + 10n log n + 5 ≤ 35n3 , for n ≥ 1.
Example 3.12: 3 log n + 2 is O(log n).
Justification: 3 log n + 2 ≤ 5 log n, for n ≥ 2. Note that log n is zero for n = 1.
That is why we use n ≥ n0 = 2 in this case.
Example 3.13: 2n+2 is O(2n ).
Justification:
case.
2n+2 = 2n · 22 = 4 · 2n ; hence, we can take c = 4 and n0 = 1 in this
Example 3.14: 2n + 100 log n is O(n).
Justification:
in this case.
2n + 100 log n ≤ 102n, for n ≥ n0 = 1; hence, we can take c = 102
Characterizing Functions in Simplest Terms
In general, we should use the big-Oh notation to characterize a function as closely
as possible. While it is true that the function f (n) = 4n3 + 3n2 is O(n5 ) or even
O(n4 ), it is more accurate to say that f (n) is O(n3 ). Consider, by way of analogy,
a scenario where a hungry traveler driving along a long country road happens upon
a local farmer walking home from a market. If the traveler asks the farmer how
much longer he must drive before he can find some food, it may be truthful for the
farmer to say, “certainly no longer than 12 hours,” but it is much more accurate
(and helpful) for him to say, “you can find a market just a few minutes drive up this
road.” Thus, even with the big-Oh notation, we should strive as much as possible
to tell the whole truth.
It is also considered poor taste to include constant factors and lower-order terms
in the big-Oh notation. For example, it is not fashionable to say that the function
2n2 is O(4n2 + 6n log n), although this is completely correct. We should strive
instead to describe the function in the big-Oh in simplest terms.
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The seven functions listed in Section 3.2 are the most common functions used
in conjunction with the big-Oh notation to characterize the running times and space
usage of algorithms. Indeed, we typically use the names of these functions to refer
to the running times of the algorithms they characterize. So, for example, we would
say that an algorithm that runs in worst-case time 4n2 + n log n is a quadratic-time
algorithm, since it runs in O(n2 ) time. Likewise, an algorithm running in time at
most 5n + 20 log n + 4 would be called a linear-time algorithm.
Big-Omega
Just as the big-Oh notation provides an asymptotic way of saying that a function is
“less than or equal to” another function, the following notations provide an asymptotic way of saying that a function grows at a rate that is “greater than or equal to”
that of another.
Let f (n) and g(n) be functions mapping positive integers to positive real numbers. We say that f (n) is Ω(g(n)), pronounced “ f (n) is big-Omega of g(n),” if g(n)
is O( f (n)), that is, there is a real constant c > 0 and an integer constant n0 ≥ 1 such
that
f (n) ≥ cg(n), for n ≥ n0 .
This definition allows us to say asymptotically that one function is greater than or
equal to another, up to a constant factor.
Example 3.15: 3n log n − 2n is Ω(n log n).
Justification: 3n log n − 2n = n log n + 2n(log n − 1) ≥ n log n for n ≥ 2; hence,
we can take c = 1 and n0 = 2 in this case.
Big-Theta
In addition, there is a notation that allows us to say that two functions grow at the
same rate, up to constant factors. We say that f (n) is Θ(g(n)), pronounced “ f (n)
is big-Theta of g(n),” if f (n) is O(g(n)) and f (n) is Ω(g(n)) , that is, there are real
constants c > 0 and c > 0, and an integer constant n0 ≥ 1 such that
c g(n) ≤ f (n) ≤ c g(n), for n ≥ n0 .
Example 3.16: 3n log n + 4n + 5 log n is Θ(n log n).
Justification:
3n log n ≤ 3n log n + 4n + 5 log n ≤ (3 + 4 + 5)n log n for n ≥ 2.
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3.3.2 Comparative Analysis
Suppose two algorithms solving the same problem are available: an algorithm A,
which has a running time of O(n), and an algorithm B, which has a running time
of O(n2 ). Which algorithm is better? We know that n is O(n2 ), which implies that
algorithm A is asymptotically better than algorithm B, although for a small value
of n, B may have a lower running time than A.
We can use the big-Oh notation to order classes of functions by asymptotic
growth rate. Our seven functions are ordered by increasing growth rate in the following sequence, that is, if a function f (n) precedes a function g(n) in the sequence,
then f (n) is O(g(n)):
1,
log n,
n,
n log n,
n2 ,
n3 ,
2n .
We illustrate the growth rates of the seven functions in Table 3.2. (See also
Figure 3.4 from Section 3.2.1.)
n
8
16
32
64
128
256
512
log n
3
4
5
6
7
8
9
n
8
16
32
64
128
256
512
n log n
24
64
160
384
896
2, 048
4, 608
n2
64
256
1, 024
4, 096
16, 384
65, 536
262, 144
n3
512
4, 096
32, 768
262, 144
2, 097, 152
16, 777, 216
134, 217, 728
2n
256
65, 536
4, 294, 967, 296
1.84 × 1019
3.40 × 1038
1.15 × 1077
1.34 × 10154
Table 3.2: Selected values of fundamental functions in algorithm analysis.
We further illustrate the importance of the asymptotic viewpoint in Table 3.3.
This table explores the maximum size allowed for an input instance that is processed by an algorithm in 1 second, 1 minute, and 1 hour. It shows the importance
of good algorithm design, because an asymptotically slow algorithm is beaten in
the long run by an asymptotically faster algorithm, even if the constant factor for
the asymptotically faster algorithm is worse.
Running
Time (μs)
400n
2n2
2n
Maximum Problem Size (n)
1 second 1 minute
1 hour
2,500
150,000 9,000,000
707
5,477
42,426
19
25
31
Table 3.3: Maximum size of a problem that can be solved in 1 second, 1 minute,
and 1 hour, for various running times measured in microseconds.
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The importance of good algorithm design goes beyond just what can be solved
effectively on a given computer, however. As shown in Table 3.4, even if we
achieve a dramatic speedup in hardware, we still cannot overcome the handicap
of an asymptotically slow algorithm. This table shows the new maximum problem
size achievable for any fixed amount of time, assuming algorithms with the given
running times are now run on a computer 256 times faster than the previous one.
Running Time
400n
2n2
2n
New Maximum Problem Size
256m
16m
m+8
Table 3.4: Increase in the maximum size of a problem that can be solved in a fixed
amount of time, by using a computer that is 256 times faster than the previous one.
Each entry is a function of m, the previous maximum problem size.
Some Words of Caution
A few words of caution about asymptotic notation are in order at this point. First,
note that the use of the big-Oh and related notations can be somewhat misleading
should the constant factors they “hide” be very large. For example, while it is true
that the function 10100 n is O(n), if this is the running time of an algorithm being
compared to one whose running time is 10n log n, we should prefer the O(n log n)time algorithm, even though the linear-time algorithm is asymptotically faster. This
preference is because the constant factor, 10100 , which is called “one googol,” is
believed by many astronomers to be an upper bound on the number of atoms in
the observable universe. So we are unlikely to ever have a real-world problem that
has this number as its input size. Thus, even when using the big-Oh notation, we
should at least be somewhat mindful of the constant factors and lower-order terms
we are “hiding.”
The observation above raises the issue of what constitutes a “fast” algorithm.
Generally speaking, any algorithm running in O(n log n) time (with a reasonable
constant factor) should be considered efficient. Even an O(n2 )-time function may
be fast enough in some contexts, that is, when n is small. But an algorithm running
in O(2n ) time should almost never be considered efficient.
Exponential Running Times
There is a famous story about the inventor of the game of chess. He asked only that
his king pay him 1 grain of rice for the first square on the board, 2 grains for the
second, 4 grains for the third, 8 for the fourth, and so on. It is an interesting test of
programming skills to write a program to compute exactly the number of grains of
rice the king would have to pay.
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If we must draw a line between efficient and inefficient algorithms, therefore,
it is natural to make this distinction be that between those algorithms running in
polynomial time and those running in exponential time. That is, make the distinction between algorithms with a running time that is O(nc ), for some constant c > 1,
and those with a running time that is O(b n ), for some constant b > 1. Like so many
notions we have discussed in this section, this too should be taken with a “grain of
salt,” for an algorithm running in O(n100 ) time should probably not be considered
“efficient.” Even so, the distinction between polynomial-time and exponential-time
algorithms is considered a robust measure of tractability.
3.3.3 Examples of Algorithm Analysis
Now that we have the big-Oh notation for doing algorithm analysis, let us give some
examples by characterizing the running time of some simple algorithms using this
notation. Moreover, in keeping with our earlier promise, we illustrate below how
each of the seven functions given earlier in this chapter can be used to characterize
the running time of an example algorithm.
Rather than use pseudo-code in this section, we give complete Python implementations for our examples. We use Python’s list class as the natural representation for an “array” of values. In Chapter 5, we will fully explore the underpinnings
of Python’s list class, and the efficiency of the various behaviors that it supports. In
this section, we rely on just a few of its behaviors, discussing their efficiencies as
introduced.
Constant-Time Operations
Given an instance, named data, of the Python list class, a call to the function,
len(data), is evaluated in constant time. This is a very simple algorithm because
the list class maintains, for each list, an instance variable that records the current
length of the list. This allows it to immediately report that length, rather than take
time to iteratively count each of the elements in the list. Using asymptotic notation,
we say that this function runs in O(1) time; that is, the running time of this function
is independent of the length, n, of the list.
Another central behavior of Python’s list class is that it allows access to an arbitrary element of the list using syntax, data[j], for integer index j. Because Python’s
lists are implemented as array-based sequences, references to a list’s elements are
stored in a consecutive block of memory. The jth element of the list can be found,
not by iterating through the list one element at a time, but by validating the index,
and using it as an offset into the underlying array. In turn, computer hardware supports constant-time access to an element based on its memory address. Therefore,
we say that the expression data[j] is evaluated in O(1) time for a Python list.
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Revisiting the Problem of Finding the Maximum of a Sequence
For our next example, we revisit the find max algorithm, given in Code Fragment 3.1 on page 123, for finding the largest value in a sequence. Proposition 3.7
on page 125 claimed an O(n) run-time for the find max algorithm. Consistent with
our earlier analysis of syntax data[0], the initialization uses O(1) time. The loop
executes n times, and within each iteration, it performs one comparison and possibly one assignment statement (as well as maintenance of the loop variable). Finally,
we note that the mechanism for enacting a return statement in Python uses O(1)
time. Combining these steps, we have that the find max function runs in O(n) time.
Further Analysis of the Maximum-Finding Algorithm
A more interesting question about find max is how many times we might update
the current “biggest” value. In the worst case, if the data is given to us in increasing
order, the biggest value is reassigned n − 1 times. But what if the input is given
to us in random order, with all orders equally likely; what would be the expected
number of times we update the biggest value in this case? To answer this question,
note that we update the current biggest in an iteration of the loop only if the current
element is bigger than all the elements that precede it. If the sequence is given to
us in random order, the probability that the jth element is the largest of the first j
elements is 1/ j (assuming uniqueness). Hence, the expected number of times we
update the biggest (including initialization) is Hn = ∑nj=1 1/ j, which is known as
the nth Harmonic number. It turns out (see Proposition B.16) that Hn is O(log n).
Therefore, the expected number of times the biggest value is updated by find max
on a randomly ordered sequence is O(log n).
Prefix Averages
The next problem we consider is computing what are known as prefix averages
of a sequence of numbers. Namely, given a sequence S consisting of n numbers, we want to compute a sequence A such that A[ j] is the average of elements
S[0], . . . , S[ j], for j = 0, . . . , n − 1, that is,
j
A[ j] =
∑i=0 S[i]
.
j+1
Computing prefix averages has many applications in economics and statistics. For
example, given the year-by-year returns of a mutual fund, ordered from recent to
past, an investor will typically want to see the fund’s average annual returns for the
most recent year, the most recent three years, the most recent five years, and so on.
Likewise, given a stream of daily Web usage logs, a Web site manager may wish
to track average usage trends over various time periods. We analyze three different
implementations that solve this problem but with rather different running times.
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Chapter 3. Algorithm Analysis
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A Quadratic-Time Algorithm
Our first algorithm for computing prefix averages, named prefix average1, is shown
in Code Fragment 3.2. It computes every element of A separately, using an inner
loop to compute the partial sum.
1 def prefix average1(S):
2
”””Return list such that, for all j, A[j] equals average of S[0], ..., S[j].”””
3
n = len(S)
# create new list of n zeros
4
A = [0] n
5
for j in range(n):
6
total = 0
# begin computing S[0] + ... + S[j]
7
for i in range(j + 1):
8
total += S[i]
9
A[j] = total / (j+1)
# record the average
10
return A
Code Fragment 3.2: Algorithm prefix average1.
In order to analyze the prefix average1 algorithm, we consider the various steps
that are executed.
• The statement, n = len(S), executes in constant time, as described at the
beginning of Section 3.3.3.
• The statement, A = [0] n, causes the creation and initialization of a Python
list with length n, and with all entries equal to zero. This uses a constant
number of primitive operations per element, and thus runs in O(n) time.
• There are two nested for loops, which are controlled, respectively, by counters j and i. The body of the outer loop, controlled by counter j, is executed n times, for j = 0, . . . , n − 1. Therefore, statements total = 0 and
A[j] = total / (j+1) are executed n times each. This implies that these two
statements, plus the management of counter j in the range, contribute a number of primitive operations proportional to n, that is, O(n) time.
• The body of the inner loop, which is controlled by counter i, is executed j + 1
times, depending on the current value of the outer loop counter j. Thus, statement total += S[i], in the inner loop, is executed 1 + 2 + 3 + · · · + n times.
By recalling Proposition 3.3, we know that 1 + 2 + 3 + · · · + n = n(n + 1)/2,
which implies that the statement in the inner loop contributes O(n2 ) time.
A similar argument can be done for the primitive operations associated with
maintaining counter i, which also take O(n2 ) time.
The running time of implementation prefix average1 is given by the sum of three
terms. The first and the second terms are O(n), and the third term is O(n2 ). By a
simple application of Proposition 3.9, the running time of prefix average1 is O(n2 ).
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Our second implementation for computing prefix averages, prefix average2, is
presented in Code Fragment 3.3.
1 def prefix average2(S):
2
”””Return list such that, for all j, A[j] equals average of S[0], ..., S[j].”””
3
n = len(S)
# create new list of n zeros
4
A = [0] n
5
for j in range(n):
6
A[j] = sum(S[0:j+1]) / (j+1) # record the average
7
return A
Code Fragment 3.3: Algorithm prefix average2.
This approach is essentially the same high-level algorithm as in prefix average1,
but we have replaced the inner loop by using the single expression sum(S[0:j+1])
to compute the partial sum, S[0] + · · · + S[ j]. While the use of that function greatly
simplifies the presentation of the algorithm, it is worth asking how it affects the
efficiency. Asymptotically, this implementation is no better. Even though the expression, sum(S[0:j+1]), seems like a single command, it is a function call and
an evaluation of that function takes O( j + 1) time in this context. Technically, the
computation of the slice, S[0:j+1], also uses O( j + 1) time, as it constructs a new
list instance for storage. So the running time of prefix average2 is still dominated
by a series of steps that take time proportional to 1+ 2+ 3+ · · · + n, and thus O(n2 ).
A Linear-Time Algorithm
Our final algorithm, prefix averages3, is given in Code Fragment 3.4. Just as with
our first two algorithms, we are interested in computing, for each j, the prefix sum
S[0] + S[1] + · · · + S[ j], denoted as total in our code, so that we can then compute
the prefix average A[j] =total / (j + 1). However, there is a key difference that
results in much greater efficiency.
1 def prefix average3(S):
2
”””Return list such that, for all j, A[j] equals average of S[0], ..., S[j].”””
3
n = len(S)
# create new list of n zeros
4
A = [0] n
5
total = 0
# compute prefix sum as S[0] + S[1] + ...
6
for j in range(n):
7
total += S[j]
# update prefix sum to include S[j]
8
A[j] = total / (j+1)
# compute average based on current sum
9
return A
Code Fragment 3.4: Algorithm prefix average3.
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In our first two algorithms, the prefix sum is computed anew for each value of j.
That contributed O( j) time for each j, leading to the quadratic behavior. In algorithm prefix average3, we maintain the current prefix sum dynamically, effectively
computing S[0] + S[1] + · · · + S[ j] as total + S[j], where value total is equal to the
sum S[0] + S[1] + · · · + S[ j − 1] computed by the previous pass of the loop over j.
The analysis of the running time of algorithm prefix average3 follows:
• Initializing variables n and total uses O(1) time.
• Initializing the list A uses O(n) time.
• There is a single for loop, which is controlled by counter j. The maintenance
of that counter by the range iterator contributes a total of O(n) time.
• The body of the loop is executed n times, for j = 0, . . . , n − 1. Thus, statements total += S[j] and A[j] = total / (j+1) are executed n times each.
Since each of these statements uses O(1) time per iteration, their overall
contribution is O(n) time.
The running time of algorithm prefix average3 is given by the sum of the four
terms. The first is O(1) and the remaining three are O(n). By a simple application
of Proposition 3.9, the running time of prefix average3 is O(n), which is much
better than the quadratic time of algorithms prefix average1 and prefix average2.
Three-Way Set Disjointness
Suppose we are given three sequences of numbers, A, B, and C. We will assume
that no individual sequence contains duplicate values, but that there may be some
numbers that are in two or three of the sequences. The three-way set disjointness
problem is to determine if the intersection of the three sequences is empty, namely,
that there is no element x such that x ∈ A, x ∈ B, and x ∈ C. A simple Python
function to determine this property is given in Code Fragment 3.5.
1 def disjoint1(A, B, C):
2
”””Return True if there is no element common to all three lists.”””
3
for a in A:
4
for b in B:
5
for c in C:
6
if a == b == c:
7
return False
# we found a common value
8
return True
# if we reach this, sets are disjoint
Code Fragment 3.5: Algorithm disjoint1 for testing three-way set disjointness.
This simple algorithm loops through each possible triple of values from the
three sets to see if those values are equivalent. If each of the original sets has size
n, then the worst-case running time of this function is O(n3 ).
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3.3. Asymptotic Analysis
135
We can improve upon the asymptotic performance with a simple observation.
Once inside the body of the loop over B, if selected elements a and b do not match
each other, it is a waste of time to iterate through all values of C looking for a
matching triple. An improved solution to this problem, taking advantage of this
observation, is presented in Code Fragment 3.6.
1 def disjoint2(A, B, C):
2
”””Return True if there is no element common to all three lists.”””
3
for a in A:
4
for b in B:
5
if a == b:
# only check C if we found match from A and B
6
for c in C:
7
if a == c
# (and thus a == b == c)
8
return False
# we found a common value
9
return True
# if we reach this, sets are disjoint
Code Fragment 3.6: Algorithm disjoint2 for testing three-way set disjointness.
In the improved version, it is not simply that we save time if we get lucky. We
claim that the worst-case running time for disjoint2 is O(n2 ). There are quadratically many pairs (a, b) to consider. However, if A and B are each sets of distinct
elements, there can be at most O(n) such pairs with a equal to b. Therefore, the
innermost loop, over C, executes at most n times.
To account for the overall running time, we examine the time spent executing
each line of code. The management of the for loop over A requires O(n) time.
The management of the for loop over B accounts for a total of O(n2 ) time, since
that loop is executed n different times. The test a == b is evaluated O(n2 ) times.
The rest of the time spent depends upon how many matching (a, b) pairs exist. As
we have noted, there are at most n such pairs, and so the management of the loop
over C, and the commands within the body of that loop, use at most O(n2 ) time.
By our standard application of Proposition 3.9, the total time spent is O(n2 ).
Element Uniqueness
A problem that is closely related to the three-way set disjointness problem is the
element uniqueness problem. In the former, we are given three collections and we
presumed that there were no duplicates within a single collection. In the element
uniqueness problem, we are given a single sequence S with n elements and asked
whether all elements of that collection are distinct from each other.
Our first solution to this problem uses a straightforward iterative algorithm.
The unique1 function, given in Code Fragment 3.7, solves the element uniqueness
problem by looping through all distinct pairs of indices j < k, checking if any of
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Chapter 3. Algorithm Analysis
136
1 def unique1(S):
2
”””Return True if there are no duplicate elements in sequence S.”””
3
for j in range(len(S)):
4
for k in range(j+1, len(S)):
5
if S[j] == S[k]:
6
return False
# found duplicate pair
7
return True
# if we reach this, elements were unique
Code Fragment 3.7: Algorithm unique1 for testing element uniqueness.
those pairs refer to elements that are equivalent to each other. It does this using two
nested for loops, such that the first iteration of the outer loop causes n − 1 iterations
of the inner loop, the second iteration of the outer loop causes n − 2 iterations of
the inner loop, and so on. Thus, the worst-case running time of this function is
proportional to
(n − 1) + (n − 2) + · · · + 2 + 1,
which we recognize as the familiar O(n2 ) summation from Proposition 3.3.
Using Sorting as a Problem-Solving Tool
An even better algorithm for the element uniqueness problem is based on using
sorting as a problem-solving tool. In this case, by sorting the sequence of elements,
we are guaranteed that any duplicate elements will be placed next to each other.
Thus, to determine if there are any duplicates, all we need to do is perform a single pass over the sorted sequence, looking for consecutive duplicates. A Python
implementation of this algorithm is as follows:
1 def unique2(S):
2
”””Return True if there are no duplicate elements in sequence S.”””
3
temp = sorted(S)
# create a sorted copy of S
4
for j in range(1, len(temp)):
5
if S[j−1] == S[j]:
6
return False
# found duplicate pair
7
return True
# if we reach this, elements were unique
Code Fragment 3.8: Algorithm unique2 for testing element uniqueness.
The built-in function, sorted, as described in Section 1.5.2, produces a copy of
the original list with elements in sorted order. It guarantees a worst-case running
time of O(n log n); see Chapter 12 for a discussion of common sorting algorithms.
Once the data is sorted, the subsequent loop runs in O(n) time, and so the entire
unique2 algorithm runs in O(n log n) time.
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3.4. Simple Justification Techniques
3.4
137
Simple Justification Techniques
Sometimes, we will want to make claims about an algorithm, such as showing that
it is correct or that it runs fast. In order to rigorously make such claims, we must
use mathematical language, and in order to back up such claims, we must justify or
prove our statements. Fortunately, there are several simple ways to do this.
3.4.1 By Example
Some claims are of the generic form, “There is an element x in a set S that has
property P.” To justify such a claim, we only need to produce a particular x in S
that has property P. Likewise, some hard-to-believe claims are of the generic form,
“Every element x in a set S has property P.” To justify that such a claim is false, we
only need to produce a particular x from S that does not have property P. Such an
instance is called a counterexample.
Example 3.17: Professor Amongus claims that every number of the form 2i − 1
is a prime, when i is an integer greater than 1. Professor Amongus is wrong.
Justification: To prove Professor Amongus is wrong, we find a counterexample.
Fortunately, we need not look too far, for 24 − 1 = 15 = 3 · 5.
3.4.2 The “Contra” Attack
Another set of justification techniques involves the use of the negative. The two
primary such methods are the use of the contrapositive and the contradiction. The
use of the contrapositive method is like looking through a negative mirror. To
justify the statement “if p is true, then q is true,” we establish that “if q is not true,
then p is not true” instead. Logically, these two statements are the same, but the
latter, which is called the contrapositive of the first, may be easier to think about.
Example 3.18: Let a and b be integers. If ab is even, then a is even or b is even.
Justification: To justify this claim, consider the contrapositive, “If a is odd and
b is odd, then ab is odd.” So, suppose a = 2 j + 1 and b = 2k + 1, for some integers
j and k. Then ab = 4 jk + 2 j + 2k + 1 = 2(2 jk + j + k) + 1; hence, ab is odd.
Besides showing a use of the contrapositive justification technique, the previous
example also contains an application of DeMorgan’s Law. This law helps us deal
with negations, for it states that the negation of a statement of the form “p or q” is
“not p and not q.” Likewise, it states that the negation of a statement of the form
“p and q” is “not p or not q.”
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Chapter 3. Algorithm Analysis
138
Contradiction
Another negative justification technique is justification by contradiction, which
also often involves using DeMorgan’s Law. In applying the justification by contradiction technique, we establish that a statement q is true by first supposing that
q is false and then showing that this assumption leads to a contradiction (such as
2 = 2 or 1 > 3). By reaching such a contradiction, we show that no consistent situation exists with q being false, so q must be true. Of course, in order to reach this
conclusion, we must be sure our situation is consistent before we assume q is false.
Example 3.19: Let a and b be integers. If ab is odd, then a is odd and b is odd.
Justification: Let ab be odd. We wish to show that a is odd and b is odd. So,
with the hope of leading to a contradiction, let us assume the opposite, namely,
suppose a is even or b is even. In fact, without loss of generality, we can assume
that a is even (since the case for b is symmetric). Then a = 2 j for some integer
j. Hence, ab = (2 j)b = 2( jb), that is, ab is even. But this is a contradiction: ab
cannot simultaneously be odd and even. Therefore, a is odd and b is odd.
3.4.3 Induction and Loop Invariants
Most of the claims we make about a running time or a space bound involve an integer parameter n (usually denoting an intuitive notion of the “size” of the problem).
Moreover, most of these claims are equivalent to saying some statement q(n) is true
“for all n ≥ 1.” Since this is making a claim about an infinite set of numbers, we
cannot justify this exhaustively in a direct fashion.
Induction
We can often justify claims such as those above as true, however, by using the
technique of induction. This technique amounts to showing that, for any particular
n ≥ 1, there is a finite sequence of implications that starts with something known
to be true and ultimately leads to showing that q(n) is true. Specifically, we begin a
justification by induction by showing that q(n) is true for n = 1 (and possibly some
other values n = 2, 3, . . . , k, for some constant k). Then we justify that the inductive
“step” is true for n > k, namely, we show “if q( j) is true for all j < n, then q(n) is
true.” The combination of these two pieces completes the justification by induction.
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3.4. Simple Justification Techniques
139
Proposition 3.20: Consider the Fibonacci function F(n), which is defined such
that F(1) = 1, F(2) = 2, and F(n) = F(n − 2) + F(n − 1) for n > 2. (See Section 1.8.) We claim that F(n) < 2n .
Justification: We will show our claim is correct by induction.
Base cases: (n ≤ 2). F(1) = 1 < 2 = 21 and F(2) = 2 < 4 = 22 .
Induction step: (n > 2). Suppose our claim is true for all n < n. Consider F(n).
Since n > 2, F(n) = F(n − 2) + F (n − 1). Moreover, since both n − 2 and n − 1 are
less than n, we can apply the inductive assumption (sometimes called the “inductive
hypothesis”) to imply that F(n) < 2n−2 + 2n−1 , since
2n−2 + 2n−1 < 2n−1 + 2n−1 = 2 · 2n−1 = 2n .
Let us do another inductive argument, this time for a fact we have seen before.
Proposition 3.21: (which is the same as Proposition 3.3)
n
∑i=
i=1
n(n + 1)
.
2
Justification: We will justify this equality by induction.
Base case: n = 1. Trivial, for 1 = n(n + 1)/2, if n = 1.
Induction step: n ≥ 2. Assume the claim is true for n < n. Consider n.
n
n−1
i=1
i=1
∑ i = n + ∑ i.
By the induction hypothesis, then
n
∑i = n+
i=1
(n − 1)n
,
2
which we can simplify as
n+
(n − 1)n 2n + n2 − n n2 + n n(n + 1)
=
=
=
.
2
2
2
2
We may sometimes feel overwhelmed by the task of justifying something true
for all n ≥ 1. We should remember, however, the concreteness of the inductive technique. It shows that, for any particular n, there is a finite step-by-step sequence of
implications that starts with something true and leads to the truth about n. In short,
the inductive argument is a template for building a sequence of direct justifications.
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Chapter 3. Algorithm Analysis
140
Loop Invariants
The final justification technique we discuss in this section is the loop invariant. To
prove some statement L about a loop is correct, define L in terms of a series of
smaller statements L0 , L1 , . . . , Lk , where:
1. The initial claim, L0 , is true before the loop begins.
2. If L j−1 is true before iteration j, then L j will be true after iteration j.
3. The final statement, Lk , implies the desired statement L to be true.
Let us give a simple example of using a loop-invariant argument to justify the
correctness of an algorithm. In particular, we use a loop invariant to justify that
the function, find (see Code Fragment 3.9), finds the smallest index at which element val occurs in sequence S.
1 def find(S, val):
2
”””Return index j such that S[j] == val, or -1 if no such element.”””
3
n = len(S)
4
j=0
5
while j < n:
6
if S[j] == val:
7
return j
# a match was found at index j
8
j += 1
9
return −1
Code Fragment 3.9: Algorithm for finding the first index at which a given element
occurs in a Python list.
To show that find is correct, we inductively define a series of statements, L j ,
that lead to the correctness of our algorithm. Specifically, we claim the following
is true at the beginning of iteration j of the while loop:
L j : val is not equal to any of the first j elements of S.
This claim is true at the beginning of the first iteration of the loop, because j is 0
and there are no elements among the first 0 in S (this kind of a trivially true claim
is said to hold vacuously). In iteration j, we compare element val to element S[ j]
and return the index j if these two elements are equivalent, which is clearly correct
and completes the algorithm in this case. If the two elements val and S[ j] are not
equal, then we have found one more element not equal to val and we increment
the index j. Thus, the claim L j will be true for this new value of j; hence, it is
true at the beginning of the next iteration. If the while loop terminates without
ever returning an index in S, then we have j = n. That is, Ln is true—there are no
elements of S equal to val. Therefore, the algorithm correctly returns −1 to indicate
that val is not in S.
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3.5. Exercises
3.5
141
Exercises
For help with exercises, please visit the site, www.wiley.com/college/goodrich.
Reinforcement
R-3.1 Graph the functions 8n, 4n log n, 2n2 , n3 , and 2n using a logarithmic scale
for the x- and y-axes; that is, if the function value f (n) is y, plot this as a
point with x-coordinate at log n and y-coordinate at log y.
R-3.2 The number of operations executed by algorithms A and B is 8n log n and
2n2 , respectively. Determine n0 such that A is better than B for n ≥ n0 .
R-3.3 The number of operations executed by algorithms A and B is 40n2 and
2n3 , respectively. Determine n0 such that A is better than B for n ≥ n0 .
R-3.4 Give an example of a function that is plotted the same on a log-log scale
as it is on a standard scale.
R-3.5 Explain why the plot of the function nc is a straight line with slope c on a
log-log scale.
R-3.6 What is the sum of all the even numbers from 0 to 2n, for any positive
integer n?
R-3.7 Show that the following two statements are equivalent:
(a) The running time of algorithm A is always O( f (n)).
(b) In the worst case, the running time of algorithm A is O( f (n)).
R-3.8 Order the following functions by asymptotic growth rate.
4n log n + 2n 210 2log n
3n + 100 log n 4n
2n
n2 + 10n
n3 n log n
R-3.9 Show that if d(n) is O( f (n)), then ad(n) is O( f (n)), for any constant
a > 0.
R-3.10 Show that if d(n) is O( f (n)) and e(n) is O(g(n)), then the product d(n)e(n)
is O( f (n)g(n)).
R-3.11 Show that if d(n) is O( f (n)) and e(n) is O(g(n)), then d(n) + e(n) is
O( f (n) + g(n)).
R-3.12 Show that if d(n) is O( f (n)) and e(n) is O(g(n)), then d(n) − e(n) is not
necessarily O( f (n) − g(n)).
R-3.13 Show that if d(n) is O( f (n)) and f (n) is O(g(n)), then d(n) is O(g(n)).
R-3.14 Show that O(max{ f (n), g(n)}) = O( f (n) + g(n)).
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Chapter 3. Algorithm Analysis
142
R-3.15
R-3.16
R-3.17
R-3.18
R-3.19
R-3.20
R-3.21
R-3.22
R-3.23
R-3.24
R-3.25
R-3.26
R-3.27
R-3.28
Show that f (n) is O(g(n)) if and only if g(n) is Ω( f (n)).
Show that if p(n) is a polynomial in n, then log p(n) is O(log n).
Show that (n + 1)5 is O(n5 ).
Show that 2n+1 is O(2n ).
Show that n is O(n log n).
Show that n2 is Ω(n log n).
Show that n log n is Ω(n).
Show that f (n) is O( f (n)), if f (n) is a positive nondecreasing function
that is always greater than 1.
Give a big-Oh characterization, in terms of n, of the running time of the
example1 function shown in Code Fragment 3.10.
Give a big-Oh characterization, in terms of n, of the running time of the
example2 function shown in Code Fragment 3.10.
Give a big-Oh characterization, in terms of n, of the running time of the
example3 function shown in Code Fragment 3.10.
Give a big-Oh characterization, in terms of n, of the running time of the
example4 function shown in Code Fragment 3.10.
Give a big-Oh characterization, in terms of n, of the running time of the
example5 function shown in Code Fragment 3.10.
For each function f (n) and time t in the following table, determine the
largest size n of a problem P that can be solved in time t if the algorithm
for solving P takes f (n) microseconds (one entry is already completed).
1 Second
log n
≈ 10
1 Hour
1 Month
1 Century
300000
n
n log n
n2
2n
R-3.29 Algorithm A executes an O(log n)-time computation for each entry of an
n-element sequence. What is its worst-case running time?
R-3.30 Given an n-element sequence S, Algorithm B chooses log n elements in
S at random and executes an O(n)-time calculation for each. What is the
worst-case running time of Algorithm B?
R-3.31 Given an n-element sequence S of integers, Algorithm C executes an
O(n)-time computation for each even number in S, and an O(log n)-time
computation for each odd number in S. What are the best-case and worstcase running times of Algorithm C?
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3.5. Exercises
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30
31
32
33
34
35
36
37
38
39
40
41
42
43
44
45
46
47
143
def example1(S):
”””Return the sum of the elements in sequence S.”””
n = len(S)
total = 0
for j in range(n):
# loop from 0 to n-1
total += S[j]
return total
def example2(S):
”””Return the sum of the elements with even index in sequence S.”””
n = len(S)
total = 0
for j in range(0, n, 2):
# note the increment of 2
total += S[j]
return total
def example3(S):
”””Return the sum of the prefix sums of sequence S.”””
n = len(S)
total = 0
for j in range(n):
# loop from 0 to n-1
for k in range(1+j):
# loop from 0 to j
total += S[k]
return total
def example4(S):
”””Return the sum of the prefix sums of sequence S.”””
n = len(S)
prefix = 0
total = 0
for j in range(n):
prefix += S[j]
total += prefix
return total
def example5(A, B):
# assume that A and B have equal length
”””Return the number of elements in B equal to the sum of prefix sums in A.”””
n = len(A)
count = 0
for i in range(n):
# loop from 0 to n-1
total = 0
for j in range(n):
# loop from 0 to n-1
for k in range(1+j):
# loop from 0 to j
total += A[k]
if B[i] == total:
count += 1
return count
Code Fragment 3.10: Some sample algorithms for analysis.
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Chapter 3. Algorithm Analysis
144
R-3.32 Given an n-element sequence S, Algorithm D calls Algorithm E on each
element S[i]. Algorithm E runs in O(i) time when it is called on element
S[i]. What is the worst-case running time of Algorithm D?
R-3.33 Al and Bob are arguing about their algorithms. Al claims his O(n log n)time method is always faster than Bob’s O(n2 )-time method. To settle the
issue, they perform a set of experiments. To Al’s dismay, they find that if
n < 100, the O(n2 )-time algorithm runs faster, and only when n ≥ 100 is
the O(n log n)-time one better. Explain how this is possible.
R-3.34 There is a well-known city (which will go nameless here) whose inhabitants have the reputation of enjoying a meal only if that meal is the best
they have ever experienced in their life. Otherwise, they hate it. Assuming meal quality is distributed uniformly across a person’s life, describe
the expected number of times inhabitants of this city are happy with their
meals?
Creativity
C-3.35 Assuming it is possible to sort n numbers in O(n log n) time, show that it
is possible to solve the three-way set disjointness problem in O(n log n)
time.
C-3.36 Describe an efficient algorithm for finding the ten largest elements in a
sequence of size n. What is the running time of your algorithm?
C-3.37 Give an example of a positive function f (n) such that f (n) is neither O(n)
nor Ω(n).
C-3.38 Show that ∑ni=1 i2 is O(n3 ).
C-3.39 Show that ∑ni=1 i/2i < 2. (Hint: Try to bound this sum term by term with
a geometric progression.)
C-3.40 Show that logb f (n) is Θ(log f (n)) if b > 1 is a constant.
C-3.41 Describe an algorithm for finding both the minimum and maximum of n
numbers using fewer than 3n/2 comparisons. (Hint: First, construct a
group of candidate minimums and a group of candidate maximums.)
C-3.42 Bob built a Web site and gave the URL only to his n friends, which he
numbered from 1 to n. He told friend number i that he/she can visit the
Web site at most i times. Now Bob has a counter, C, keeping track of the
total number of visits to the site (but not the identities of who visits). What
is the minimum value for C such that Bob can know that one of his friends
has visited his/her maximum allowed number of times?
C-3.43 Draw a visual justification of Proposition 3.3 analogous to that of Figure 3.3(b) for the case when n is odd.
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3.5. Exercises
145
C-3.44 Communication security is extremely important in computer networks,
and one way many network protocols achieve security is to encrypt messages. Typical cryptographic schemes for the secure transmission of messages over such networks are based on the fact that no efficient algorithms
are known for factoring large integers. Hence, if we can represent a secret
message by a large prime number p, we can transmit, over the network,
the number r = p · q, where q > p is another large prime number that acts
as the encryption key. An eavesdropper who obtains the transmitted number r on the network would have to factor r in order to figure out the secret
message p.
Using factoring to figure out a message is very difficult without knowing
the encryption key q. To understand why, consider the following naive
factoring algorithm:
for p in range(2,r):
if r % p == 0:
return The secret message is p!
# if p divides r
a. Suppose that the eavesdropper uses the above algorithm and has a
computer that can carry out in 1 microsecond (1 millionth of a second) a division between two integers of up to 100 bits each. Give an
estimate of the time that it will take in the worst case to decipher the
secret message p if the transmitted message r has 100 bits.
b. What is the worst-case time complexity of the above algorithm?
Since the input to the algorithm is just one large number r, assume
that the input size n is the number of bytes needed to store r, that is,
n = (log2 r)/8 + 1, and that each division takes time O(n).
C-3.45 A sequence S contains n − 1 unique integers in the range [0, n − 1], that
is, there is one number from this range that is not in S. Design an O(n)time algorithm for finding that number. You are only allowed to use O(1)
additional space besides the sequence S itself.
C-3.46 Al says he can prove that all sheep in a flock are the same color:
Base case: One sheep. It is clearly the same color as itself.
Induction step: A flock of n sheep. Take a sheep, a, out. The remaining
n − 1 are all the same color by induction. Now put sheep a back in and
take out a different sheep, b. By induction, the n − 1 sheep (now with a)
are all the same color. Therefore, all the sheep in the flock are the same
color. What is wrong with Al’s “justification”?
C-3.47 Let S be a set of n lines in the plane such that no two are parallel and
no three meet in the same point. Show, by induction, that the lines in S
determine Θ(n2 ) intersection points.
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Chapter 3. Algorithm Analysis
146
C-3.48 Consider the following “justification” that the Fibonacci function, F(n)
(see Proposition 3.20) is O(n):
Base case (n ≤ 2): F(1) = 1 and F(2) = 2.
Induction step (n > 2): Assume claim true for n < n. Consider n. F(n) =
F(n − 2) + F (n − 1). By induction, F(n − 2) is O(n − 2) and F(n − 1) is
O(n − 1). Then, F(n) is O((n − 2) + (n − 1)), by the identity presented in
Exercise R-3.11. Therefore, F(n) is O(n).
What is wrong with this “justification”?
C-3.49 Consider the Fibonacci function, F(n) (see Proposition 3.20). Show by
induction that F(n) is Ω((3/2)n ).
C-3.50 Let p(x) be a polynomial of degree n, that is, p(x) = ∑ni=0 ai xi .
(a) Describe a simple O(n2 )-time algorithm for computing p(x).
(b) Describe an O(n log n)-time algorithm for computing p(x), based upon
a more efficient calculation of xi .
(c) Now consider a rewriting of p(x) as
p(x) = a0 + x(a1 + x(a2 + x(a3 + · · · + x(an−1 + xan ) · · · ))),
C-3.51
C-3.52
C-3.53
C-3.54
which is known as Horner’s method. Using the big-Oh notation, characterize the number of arithmetic operations this method executes.
Show that the summation ∑ni=1 log i is O(n log n).
Show that the summation ∑ni=1 log i is Ω(n log n).
An evil king has n bottles of wine, and a spy has just poisoned one of
them. Unfortunately, they do not know which one it is. The poison is very
deadly; just one drop diluted even a billion to one will still kill. Even so,
it takes a full month for the poison to take effect. Design a scheme for
determining exactly which one of the wine bottles was poisoned in just
one month’s time while expending O(log n) taste testers.
A sequence S contains n integers taken from the interval [0, 4n], with repetitions allowed. Describe an efficient algorithm for determining an integer
value k that occurs the most often in S. What is the running time of your
algorithm?
Projects
P-3.55 Perform an experimental analysis of the three algorithms prefix average1,
prefix average2, and prefix average3, from Section 3.3.3. Visualize their
running times as a function of the input size with a log-log chart.
P-3.56 Perform an experimental analysis that compares the relative running times
of the functions shown in Code Fragment 3.10.
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Chapter Notes
147
P-3.57 Perform experimental analysis to test the hypothesis that Python’s sorted
method runs in O(n log n) time on average.
P-3.58 For each of the three algorithms, unique1, unique2, and unique3, which
solve the element uniqueness problem, perform an experimental analysis
to determine the largest value of n such that the given algorithm runs in
one minute or less.
Chapter Notes
The big-Oh notation has prompted several comments about its proper use [19, 49, 63].
Knuth [64, 63] defines it using the notation f (n) = O(g(n)), but says this “equality” is only
“one way.” We have chosen to take a more standard view of equality and view the big-Oh
notation as a set, following Brassard [19]. The reader interested in studying average-case
analysis is referred to the book chapter by Vitter and Flajolet [101]. For some additional
mathematical tools, please refer to Appendix B.
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Chapter
4
Recursion
Contents
4.1
4.2
4.3
4.4
4.5
4.6
4.7
Illustrative Examples . . . . . . . . . . . .
4.1.1 The Factorial Function . . . . . . . .
4.1.2 Drawing an English Ruler . . . . . . .
4.1.3 Binary Search . . . . . . . . . . . . .
4.1.4 File Systems . . . . . . . . . . . . . .
Analyzing Recursive Algorithms . . . . .
Recursion Run Amok . . . . . . . . . . .
4.3.1 Maximum Recursive Depth in Python
Further Examples of Recursion . . . . . .
4.4.1 Linear Recursion . . . . . . . . . . . .
4.4.2 Binary Recursion . . . . . . . . . . .
4.4.3 Multiple Recursion . . . . . . . . . .
Designing Recursive Algorithms . . . . .
Eliminating Tail Recursion . . . . . . . .
Exercises . . . . . . . . . . . . . . . . . .
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One way to describe repetition within a computer program is the use of loops,
such as Python’s while-loop and for-loop constructs described in Section 1.4.2. An
entirely different way to achieve repetition is through a process known as recursion.
Recursion is a technique by which a function makes one or more calls to itself
during execution, or by which a data structure relies upon smaller instances of
the very same type of structure in its representation. There are many examples of
recursion in art and nature. For example, fractal patterns are naturally recursive. A
physical example of recursion used in art is in the Russian Matryoshka dolls. Each
doll is either made of solid wood, or is hollow and contains another Matryoshka
doll inside it.
In computing, recursion provides an elegant and powerful alternative for performing repetitive tasks. In fact, a few programming languages (e.g., Scheme,
Smalltalk) do not explicitly support looping constructs and instead rely directly
on recursion to express repetition. Most modern programming languages support
functional recursion using the identical mechanism that is used to support traditional forms of function calls. When one invocation of the function make a recursive call, that invocation is suspended until the recursive call completes.
Recursion is an important technique in the study of data structures and algorithms. We will use it prominently in several later chapters of this book (most
notably, Chapters 8 and 12). In this chapter, we begin with the following four illustrative examples of the use of recursion, providing a Python implementation for
each.
• The factorial function (commonly denoted as n!) is a classic mathematical
function that has a natural recursive definition.
• An English ruler has a recursive pattern that is a simple example of a fractal
structure.
• Binary search is among the most important computer algorithms. It allows
us to efficiently locate a desired value in a data set with upwards of billions
of entries.
• The file system for a computer has a recursive structure in which directories
can be nested arbitrarily deeply within other directories. Recursive algorithms are widely used to explore and manage these file systems.
We then describe how to perform a formal analysis of the running time of a
recursive algorithm and we discuss some potential pitfalls when defining recursions. In the balance of the chapter, we provide many more examples of recursive
algorithms, organized to highlight some common forms of design.
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Chapter 4. Recursion
150
4.1
Illustrative Examples
4.1.1 The Factorial Function
To demonstrate the mechanics of recursion, we begin with a simple mathematical
example of computing the value of the factorial function. The factorial of a positive integer n, denoted n!, is defined as the product of the integers from 1 to n. If
n = 0, then n! is defined as 1 by convention. More formally, for any integer n ≥ 0,
n! =
1
n · (n − 1) · (n − 2) · · · 3 · 2 · 1
if n = 0
if n ≥ 1.
For example, 5! = 5 · 4 · 3 · 2 · 1 = 120. The factorial function is important because
it is known to equal the number of ways in which n distinct items can be arranged
into a sequence, that is, the number of permutations of n items. For example, the
three characters a, b, and c can be arranged in 3! = 3 · 2 · 1 = 6 ways: abc, acb,
bac, bca, cab, and cba.
There is a natural recursive definition for the factorial function. To see this,
observe that 5! = 5 · (4 · 3 · 2 · 1) = 5 · 4!. More generally, for a positive integer n,
we can define n! to be n · (n − 1)!. This recursive definition can be formalized as
n! =
1
n · (n − 1)!
if n = 0
if n ≥ 1.
This definition is typical of many recursive definitions. First, it contains one
or more base cases, which are defined nonrecursively in terms of fixed quantities.
In this case, n = 0 is the base case. It also contains one or more recursive cases,
which are defined by appealing to the definition of the function being defined.
A Recursive Implementation of the Factorial Function
Recursion is not just a mathematical notation; we can use recursion to design a
Python implementation of a factorial function, as shown in Code Fragment 4.1.
1 def factorial(n):
2
if n == 0:
3
return 1
4
else:
5
return n factorial(n−1)
Code Fragment 4.1: A recursive implementation of the factorial function.
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4.1. Illustrative Examples
151
This function does not use any explicit loops. Repetition is provided by the
repeated recursive invocations of the function. There is no circularity in this definition, because each time the function is invoked, its argument is smaller by one, and
when a base case is reached, no further recursive calls are made.
We illustrate the execution of a recursive function using a recursion trace. Each
entry of the trace corresponds to a recursive call. Each new recursive function
call is indicated by a downward arrow to a new invocation. When the function
returns, an arrow showing this return is drawn and the return value may be indicated
alongside this arrow. An example of such a trace for the factorial function is shown
in Figure 4.1.
return 4
6 = 24
factorial(4)
return 3
2=6
factorial(3)
return 2
1=2
factorial(2)
return 1
1=1
factorial(1)
return 1
factorial(0)
Figure 4.1: A recursion trace for the call factorial(5).
A recursion trace closely mirrors the programming language’s execution of the
recursion. In Python, each time a function (recursive or otherwise) is called, a structure known as an activation record or frame is created to store information about
the progress of that invocation of the function. This activation record includes a
namespace for storing the function call’s parameters and local variables (see Section 1.10 for a discussion of namespaces), and information about which command
in the body of the function is currently executing.
When the execution of a function leads to a nested function call, the execution of the former call is suspended and its activation record stores the place in the
source code at which the flow of control should continue upon return of the nested
call. This process is used both in the standard case of one function calling a different function, or in the recursive case in which a function invokes itself. The key
point is that there is a different activation record for each active call.
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Chapter 4. Recursion
152
4.1.2 Drawing an English Ruler
In the case of computing a factorial, there is no compelling reason for preferring
recursion over a direct iteration with a loop. As a more complex example of the
use of recursion, consider how to draw the markings of a typical English ruler. For
each inch, we place a tick with a numeric label. We denote the length of the tick
designating a whole inch as the major tick length. Between the marks for whole
inches, the ruler contains a series of minor ticks, placed at intervals of 1/2 inch,
1/4 inch, and so on. As the size of the interval decreases by half, the tick length
decreases by one. Figure 4.2 demonstrates several such rulers with varying major
tick lengths (although not drawn to scale).
---- 0
-------- 1
-------- 2
----- 0
---------------- 1
------------
(a)
(b)
(c)
0
1
2
3
Figure 4.2: Three sample outputs of an English ruler drawing: (a) a 2-inch ruler
with major tick length 4; (b) a 1-inch ruler with major tick length 5; (c) a 3-inch
ruler with major tick length 3.
A Recursive Approach to Ruler Drawing
The English ruler pattern is a simple example of a fractal, that is, a shape that has
a self-recursive structure at various levels of magnification. Consider the rule with
major tick length 5 shown in Figure 4.2(b). Ignoring the lines containing 0 and 1,
let us consider how to draw the sequence of ticks lying between these lines. The
central tick (at 1/2 inch) has length 4. Observe that the two patterns of ticks above
and below this central tick are identical, and each has a central tick of length 3.
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4.1. Illustrative Examples
153
In general, an interval with a central tick length L ≥ 1 is composed of:
• An interval with a central tick length L − 1
• A single tick of length L
• An interval with a central tick length L − 1
Although it is possible to draw such a ruler using an iterative process (see Exercise P-4.25), the task is considerably easier to accomplish with recursion. Our
implementation consists of three functions, as shown in Code Fragment 4.2. The
main function, draw ruler, manages the construction of the entire ruler. Its arguments specify the total number of inches in the ruler and the major tick length. The
utility function, draw line, draws a single tick with a specified number of dashes
(and an optional string label, that is printed after the tick).
The interesting work is done by the recursive draw interval function. This
function draws the sequence of minor ticks within some interval, based upon the
length of the interval’s central tick. We rely on the intuition shown at the top of this
page, and with a base case when L = 0 that draws nothing. For L ≥ 1, the first and
last steps are performed by recursively calling draw interval(L − 1). The middle
step is performed by calling the function draw line(L).
1 def draw line(tick length, tick label= ):
2
”””Draw one line with given tick length (followed by optional label).”””
tick length
3
line = 4
if tick label:
+ tick label
5
line +=
6
print(line)
7
8 def draw interval(center length):
9
”””Draw tick interval based upon a central tick length.”””
# stop when length drops to 0
10
if center length > 0:
# recursively draw top ticks
11
draw interval(center length − 1)
# draw center tick
12
draw line(center length)
# recursively draw bottom ticks
13
draw interval(center length − 1)
14
15 def draw ruler(num inches, major length):
16
”””Draw English ruler with given number of inches, major tick length.”””
# draw inch 0 line
17
draw line(major length, 0 )
18
for j in range(1, 1 + num inches):
# draw interior ticks for inch
19
draw interval(major length − 1)
# draw inch j line and label
20
draw line(major length, str(j))
Code Fragment 4.2: A recursive implementation of a function that draws a ruler.
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Chapter 4. Recursion
154
Illustrating Ruler Drawing Using a Recursion Trace
The execution of the recursive draw interval function can be visualized using a recursion trace. The trace for draw interval is more complicated than in the factorial
example, however, because each instance makes two recursive calls. To illustrate
this, we will show the recursion trace in a form that is reminiscent of an outline for
a document. See Figure 4.3.
Output
draw interval(3)
draw interval(2)
draw interval(1)
draw interval(0)
draw line(1)
draw interval(0)
draw line(2)
draw interval(1)
draw interval(0)
draw line(1)
draw interval(0)
draw line(3)
draw interval(2)
(previous pattern repeats)
Figure 4.3: A partial recursion trace for the call draw interval(3). The second
pattern of calls for draw interval(2) is not shown, but it is identical to the first.
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4.1. Illustrative Examples
155
4.1.3 Binary Search
In this section, we describe a classic recursive algorithm, binary search, that is used
to efficiently locate a target value within a sorted sequence of n elements. This is
among the most important of computer algorithms, and it is the reason that we so
often store data in sorted order (as in Figure 4.4).
0
1
2
3
4
5
6
7
8
9 10 11 12 13 14 15
2
4
5
7
8
9 12 14 17 19 22 25 27 28 33 37
Figure 4.4: Values stored in sorted order within an indexable sequence, such as a
Python list. The numbers at top are the indices.
When the sequence is unsorted, the standard approach to search for a target
value is to use a loop to examine every element, until either finding the target or
exhausting the data set. This is known as the sequential search algorithm. This
algorithm runs in O(n) time (i.e., linear time) since every element is inspected in
the worst case.
When the sequence is sorted and indexable, there is a much more efficient
algorithm. (For intuition, think about how you would accomplish this task by
hand!) For any index j, we know that all the values stored at indices 0, . . . , j − 1
are less than or equal to the value at index j, and all the values stored at indices
j + 1, . . . , n − 1 are greater than or equal to that at index j. This observation allows
us to quickly “home in” on a search target using a variant of the children’s game
“high-low.” We call an element of the sequence a candidate if, at the current stage
of the search, we cannot rule out that this item matches the target. The algorithm
maintains two parameters, low and high, such that all the candidate entries have
index at least low and at most high. Initially, low = 0 and high = n − 1. We then
compare the target value to the median candidate, that is, the item data[mid] with
index
mid = (low + high)/2 .
We consider three cases:
• If the target equals data[mid], then we have found the item we are looking
for, and the search terminates successfully.
• If target < data[mid], then we recur on the first half of the sequence, that is,
on the interval of indices from low to mid − 1.
• If target > data[mid], then we recur on the second half of the sequence, that
is, on the interval of indices from mid + 1 to high.
An unsuccessful search occurs if low > high, as the interval [low, high] is empty.
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Chapter 4. Recursion
156
This algorithm is known as binary search. We give a Python implementation
in Code Fragment 4.3, and an illustration of the execution of the algorithm in Figure 4.5. Whereas sequential search runs in O(n) time, the more efficient binary
search runs in O(log n) time. This is a significant improvement, given that if n
is one billion, log n is only 30. (We defer our formal analysis of binary search’s
running time to Proposition 4.2 in Section 4.2.)
1 def binary search(data, target, low, high):
2
”””Return True if target is found in indicated portion of a Python list.
3
4
The search only considers the portion from data[low] to data[high] inclusive.
5
”””
6
if low > high:
7
return False
# interval is empty; no match
8
else:
9
mid = (low + high) // 2
10
if target == data[mid]:
# found a match
11
return True
12
elif target < data[mid]:
13
# recur on the portion left of the middle
14
return binary search(data, target, low, mid − 1)
15
else:
16
# recur on the portion right of the middle
17
return binary search(data, target, mid + 1, high)
Code Fragment 4.3: An implementation of the binary search algorithm.
6
7
8
9 10 11 12 13 14 15
0
1
2
3
4
5
2
4
5
7
8
9 12 14 17 19 22 25 27 28 33 37
low
2
mid
4
5
7
8
high
9 12 14 17 19 22 25 27 28 33 37
low
2
4
5
7
8
mid
high
9 12 14 17 19 22 25 27 28 33 37
low mid high
2
4
5
7
8
9 12 14 17 19 22 25 27 28 33 37
low=mid=high
Figure 4.5: Example of a binary search for target value 22.
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4.1. Illustrative Examples
157
4.1.4 File Systems
Modern operating systems define file-system directories (which are also sometimes
called “folders”) in a recursive way. Namely, a file system consists of a top-level
directory, and the contents of this directory consists of files and other directories,
which in turn can contain files and other directories, and so on. The operating
system allows directories to be nested arbitrarily deep (as long as there is enough
space in memory), although there must necessarily be some base directories that
contain only files, not further subdirectories. A representation of a portion of such
a file system is given in Figure 4.6.
/user/rt/courses/
cs252/
cs016/
grades
homeworks/
hw1 hw2
hw3
programs/
pr1
pr2
projects/
pr3
papers/
buylow
sellhigh
grades
demos/
market
Figure 4.6: A portion of a file system demonstrating a nested organization.
Given the recursive nature of the file-system representation, it should not come
as a surprise that many common behaviors of an operating system, such as copying
a directory or deleting a directory, are implemented with recursive algorithms. In
this section, we consider one such algorithm: computing the total disk usage for all
files and directories nested within a particular directory.
For illustration, Figure 4.7 portrays the disk space being used by all entries in
our sample file system. We differentiate between the immediate disk space used by
each entry and the cumulative disk space used by that entry and all nested features.
For example, the cs016 directory uses only 2K of immediate space, but a total of
249K of cumulative space.
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Chapter 4. Recursion
158
5124K
/user/rt/courses/
1K
249K
cs016/
2K
4874K
cs252/
1K
10K
grades
8K
229K
homeworks/
1K
4870K
programs/
1K
projects/
1K
82K
hw1 hw2
3K
2K
hw3
pr1
pr2
pr3
4K
57K
97K
74K
grades
3K
4787K
papers/
1K
demos/
1K
buylow
sellhigh
market
26K
55K
4786K
Figure 4.7: The same portion of a file system given in Figure 4.6, but with additional
annotations to describe the amount of disk space that is used. Within the icon for
each file or directory is the amount of space directly used by that artifact. Above
the icon for each directory is an indication of the cumulative disk space used by
that directory and all its (recursive) contents.
The cumulative disk space for an entry can be computed with a simple recursive
algorithm. It is equal to the immediate disk space used by the entry plus the sum
of the cumulative disk space usage of any entries that are stored directly within
the entry. For example, the cumulative disk space for cs016 is 249K because it
uses 2K itself, 8K cumulatively in grades, 10K cumulatively in homeworks, and
229K cumulatively in programs. Pseudo-code for this algorithm is given in Code
Fragment 4.4.
Algorithm DiskUsage(path):
Input: A string designating a path to a file-system entry
Output: The cumulative disk space used by that entry and any nested entries
total = size(path)
{immediate disk space used by the entry}
if path represents a directory then
for each child entry stored within directory path do
total = total + DiskUsage(child)
{recursive call}
return total
Code Fragment 4.4: An algorithm for computing the cumulative disk space usage
nested at a file-system entry. Function size returns the immediate disk space of an
entry.
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4.1. Illustrative Examples
159
Python’s os Module
To provide a Python implementation of a recursive algorithm for computing disk
usage, we rely on Python’s os module, which provides robust tools for interacting
with the operating system during the execution of a program. This is an extensive
library, but we will only need the following four functions:
• os.path.getsize(path)
Return the immediate disk usage (measured in bytes) for the file or directory
that is identified by the string path (e.g., /user/rt/courses).
• os.path.isdir(path)
Return True if entry designated by string path is a directory; False otherwise.
• os.listdir(path)
Return a list of strings that are the names of all entries within a directory
designated by string path. In our sample file system, if the parameter is
/user/rt/courses, this returns the list [ cs016 , cs252 ].
• os.path.join(path, filename)
Compose the path string and filename string using an appropriate operating
system separator between the two (e.g., the / character for a Unix/Linux
system, and the \ character for Windows). Return the string that represents
the full path to the file.
Python Implementation
With use of the os module, we now convert the algorithm from Code Fragment 4.4
into the Python implementation of Code Fragment 4.5.
1 import os
2
3 def disk usage(path):
4
”””Return the number of bytes used by a file/folder and any descendents.”””
5
total = os.path.getsize(path)
# account for direct usage
6
if os.path.isdir(path):
# if this is a directory,
7
for filename in os.listdir(path):
# then for each child:
8
childpath = os.path.join(path, filename) # compose full path to child
# add child’s usage to total
9
total += disk usage(childpath)
10
# descriptive output (optional)
11
print ( {0:<7} .format(total), path)
12
return total
# return the grand total
Code Fragment 4.5: A recursive function for reporting disk usage of a file system.
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Chapter 4. Recursion
160
Recursion Trace
To produce a different form of a recursion trace, we have included an extraneous
print statement within our Python implementation (line 11 of Code Fragment 4.5).
The precise format of that output intentionally mirrors output that is produced by
a classic Unix/Linux utility named du (for “disk usage”). It reports the amount of
disk space used by a directory and all contents nested within, and can produce a
verbose report, as given in Figure 4.8.
Our implementation of the disk usage function produces an identical result,
when executed on the sample file system portrayed in Figure 4.7. During the execution of the algorithm, exactly one recursive call is made for each entry in the
portion of the file system that is considered. Because the print statement is made
just before returning from a recursive call, the output shown in Figure 4.8 reflects
the order in which the recursive calls are completed. In particular, we begin and
end a recursive call for each entry that is nested below another entry, computing
the nested cumulative disk space before we can compute and report the cumulative
disk space for the containing entry. For example, we do not know the cumulative
total for entry /user/rt/courses/cs016 until after the recursive calls regarding
contained entries grades, homeworks, and programs complete.
8
3
2
4
10
57
97
74
229
249
26
55
82
4786
4787
4870
3
4874
5124
/user/rt/courses/cs016/grades
/user/rt/courses/cs016/homeworks/hw1
/user/rt/courses/cs016/homeworks/hw2
/user/rt/courses/cs016/homeworks/hw3
/user/rt/courses/cs016/homeworks
/user/rt/courses/cs016/programs/pr1
/user/rt/courses/cs016/programs/pr2
/user/rt/courses/cs016/programs/pr3
/user/rt/courses/cs016/programs
/user/rt/courses/cs016
/user/rt/courses/cs252/projects/papers/buylow
/user/rt/courses/cs252/projects/papers/sellhigh
/user/rt/courses/cs252/projects/papers
/user/rt/courses/cs252/projects/demos/market
/user/rt/courses/cs252/projects/demos
/user/rt/courses/cs252/projects
/user/rt/courses/cs252/grades
/user/rt/courses/cs252
/user/rt/courses/
Figure 4.8: A report of the disk usage for the file system shown in Figure 4.7,
as generated by the Unix/Linux utility du (with command-line options -ak), or
equivalently by our disk usage function from Code Fragment 4.5.
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4.2. Analyzing Recursive Algorithms
4.2
161
Analyzing Recursive Algorithms
In Chapter 3, we introduced mathematical techniques for analyzing the efficiency
of an algorithm, based upon an estimate of the number of primitive operations that
are executed by the algorithm. We use notations such as big-Oh to summarize the
relationship between the number of operations and the input size for a problem. In
this section, we demonstrate how to perform this type of running-time analysis to
recursive algorithms.
With a recursive algorithm, we will account for each operation that is performed
based upon the particular activation of the function that manages the flow of control
at the time it is executed. Stated another way, for each invocation of the function,
we only account for the number of operations that are performed within the body of
that activation. We can then account for the overall number of operations that are
executed as part of the recursive algorithm by taking the sum, over all activations,
of the number of operations that take place during each individual activation. (As
an aside, this is also the way we analyze a nonrecursive function that calls other
functions from within its body.)
To demonstrate this style of analysis, we revisit the four recursive algorithms
presented in Sections 4.1.1 through 4.1.4: factorial computation, drawing an English ruler, binary search, and computation of the cumulative size of a file system.
In general, we may rely on the intuition afforded by a recursion trace in recognizing how many recursive activations occur, and how the parameterization of each
activation can be used to estimate the number of primitive operations that occur
within the body of that activation. However, each of these recursive algorithms has
a unique structure and form.
Computing Factorials
It is relatively easy to analyze the efficiency of our function for computing factorials, as described in Section 4.1.1. A sample recursion trace for our factorial
function was given in Figure 4.1. To compute factorial(n), we see that there are a
total of n + 1 activations, as the parameter decreases from n in the first call, to n − 1
in the second call, and so on, until reaching the base case with parameter 0.
It is also clear, given an examination of the function body in Code Fragment 4.1,
that each individual activation of factorial executes a constant number of operations. Therefore, we conclude that the overall number of operations for computing
factorial(n) is O(n), as there are n + 1 activations, each of which accounts for O(1)
operations.
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Chapter 4. Recursion
162
Drawing an English Ruler
In analyzing the English ruler application from Section 4.1.2, we consider the fundamental question of how many total lines of output are generated by an initial call
to draw interval(c), where c denotes the center length. This is a reasonable benchmark for the overall efficiency of the algorithm as each line of output is based upon
a call to the draw line utility, and each recursive call to draw interval with nonzero
parameter makes exactly one direct call to draw line.
Some intuition may be gained by examining the source code and the recursion trace. We know that a call to draw interval(c) for c > 0 spawns two calls to
draw interval(c−1) and a single call to draw line. We will rely on this intuition to
prove the following claim.
Proposition 4.1: For c ≥ 0, a call to draw interval(c) results in precisely 2c − 1
lines of output.
Justification: We provide a formal proof of this claim by induction (see Section 3.4.3). In fact, induction is a natural mathematical technique for proving the
correctness and efficiency of a recursive process. In the case of the ruler, we
note that an application of draw interval(0) generates no output, and that 20 − 1 =
1 − 1 = 0. This serves as a base case for our claim.
More generally, the number of lines printed by draw interval(c) is one more
than twice the number generated by a call to draw interval(c−1), as one center
line is printed between two such recursive calls. By induction, we have that the
number of lines is thus 1 + 2 · (2c−1 − 1) = 1 + 2c − 2 = 2c − 1.
This proof is indicative of a more mathematically rigorous tool, known as a
recurrence equation that can be used to analyze the running time of a recursive
algorithm. That technique is discussed in Section 12.2.4, in the context of recursive
sorting algorithms.
Performing a Binary Search
Considering the running time of the binary search algorithm, as presented in Section 4.1.3, we observe that a constant number of primitive operations are executed
at each recursive call of method of a binary search. Hence, the running time is
proportional to the number of recursive calls performed. We will show that at most
log n + 1 recursive calls are made during a binary search of a sequence having n
elements, leading to the following claim.
Proposition 4.2: The binary search algorithm runs in O(log n) time for a sorted
sequence with n elements.
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4.2. Analyzing Recursive Algorithms
163
Justification: To prove this claim, a crucial fact is that with each recursive call
the number of candidate entries still to be searched is given by the value
high − low + 1.
Moreover, the number of remaining candidates is reduced by at least one half with
each recursive call. Specifically, from the definition of mid, the number of remaining candidates is either
high − low + 1
low + high
− low ≤
(mid − 1) − low + 1 =
2
2
or
high − low + 1
low + high
≤
.
high − (mid + 1) + 1 = high −
2
2
Initially, the number of candidates is n; after the first call in a binary search, it is at
most n/2; after the second call, it is at most n/4; and so on. In general, after the jth
call in a binary search, the number of candidate entries remaining is at most n/2 j .
In the worst case (an unsuccessful search), the recursive calls stop when there are no
more candidate entries. Hence, the maximum number of recursive calls performed,
is the smallest integer r such that
n
< 1.
2r
In other words (recalling that we omit a logarithm’s base when it is 2), r > log n.
Thus, we have
r = log n + 1,
which implies that binary search runs in O(log n) time.
Computing Disk Space Usage
Our final recursive algorithm from Section 4.1 was that for computing the overall
disk space usage in a specified portion of a file system. To characterize the “problem size” for our analysis, we let n denote the number of file-system entries in the
portion of the file system that is considered. (For example, the file system portrayed
in Figure 4.6 has n = 19 entries.)
To characterize the cumulative time spent for an initial call to the disk usage
function, we must analyze the total number of recursive invocations that are made,
as well as the number of operations that are executed within those invocations.
We begin by showing that there are precisely n recursive invocations of the
function, in particular, one for each entry in the relevant portion of the file system.
Intuitively, this is because a call to disk usage for a particular entry e of the file
system is only made from within the for loop of Code Fragment 4.5 when processing the entry for the unique directory that contains e, and that entry will only be
explored once.
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Chapter 4. Recursion
164
To formalize this argument, we can define the nesting level of each entry such
that the entry on which we begin has nesting level 0, entries stored directly within
it have nesting level 1, entries stored within those entries have nesting level 2, and
so on. We can prove by induction that there is exactly one recursive invocation of
disk usage upon each entry at nesting level k. As a base case, when k = 0, the only
recursive invocation made is the initial one. As the inductive step, once we know
there is exactly one recursive invocation for each entry at nesting level k, we can
claim that there is exactly one invocation for each entry e at nesting level k, made
within the for loop for the entry at level k that contains e.
Having established that there is one recursive call for each entry of the file
system, we return to the question of the overall computation time for the algorithm.
It would be great if we could argue that we spend O(1) time in any single invocation
of the function, but that is not the case. While there are a constant number of
steps reflect in the call to os.path.getsize to compute the disk usage directly at that
entry, when the entry is a directory, the body of the disk usage function includes a
for loop that iterates over all entries that are contained within that directory. In the
worst case, it is possible that one entry includes n − 1 others.
Based on this reasoning, we could conclude that there are O(n) recursive calls,
each of which runs in O(n) time, leading to an overall running time that is O(n2 ).
While this upper bound is technically true, it is not a tight upper bound. Remarkably, we can prove the stronger bound that the recursive algorithm for disk usage
completes in O(n) time! The weaker bound was pessimistic because it assumed
a worst-case number of entries for each directory. While it is possible that some
directories contain a number of entries proportional to n, they cannot all contain
that many. To prove the stronger claim, we choose to consider the overall number
of iterations of the for loop across all recursive calls. We claim there are precisely
n − 1 such iteration of that loop overall. We base this claim on the fact that each
iteration of that loop makes a recursive call to disk usage, and yet we have already
concluded that there are a total of n calls to disk usage (including the original call).
We therefore conclude that there are O(n) recursive calls, each of which uses O(1)
time outside the loop, and that the overall number of operations due to the loop
is O(n). Summing all of these bounds, the overall number of operations is O(n).
The argument we have made is more advanced than with the earlier examples
of recursion. The idea that we can sometimes get a tighter bound on a series of
operations by considering the cumulative effect, rather than assuming that each
achieves a worst case is a technique called amortization; we will see a further
example of such analysis in Section 5.3. Furthermore, a file system is an implicit
example of a data structure known as a tree, and our disk usage algorithm is really
a manifestation of a more general algorithm known as a tree traversal. Trees will
be the focus of Chapter 8, and our argument about the O(n) running time of the
disk usage algorithm will be generalized for tree traversals in Section 8.4.
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4.3. Recursion Run Amok
4.3
165
Recursion Run Amok
Although recursion is a very powerful tool, it can easily be misused in various ways.
In this section, we examine several problems in which a poorly implemented recursion causes drastic inefficiency, and we discuss some strategies for recognizing and
avoid such pitfalls.
We begin by revisiting the element uniqueness problem, defined on page 135
of Section 3.3.3. We can use the following recursive formulation to determine if
all n elements of a sequence are unique. As a base case, when n = 1, the elements
are trivially unique. For n ≥ 2, the elements are unique if and only if the first n − 1
elements are unique, the last n − 1 items are unique, and the first and last elements
are different (as that is the only pair that was not already checked as a subcase). A
recursive implementation based on this idea is given in Code Fragment 4.6, named
unique3 (to differentiate it from unique1 and unique2 from Chapter 3).
1 def unique3(S, start, stop):
2
”””Return True if there are no duplicate elements in slice S[start:stop].”””
3
if stop − start <= 1: return True
# at most one item
4
elif not unique(S, start, stop−1): return False # first part has duplicate
5
elif not unique(S, start+1, stop): return False # second part has duplicate
6
else: return S[start] != S[stop−1]
# do first and last differ?
Code Fragment 4.6: Recursive unique3 for testing element uniqueness.
Unfortunately, this is a terribly inefficient use of recursion. The nonrecursive
part of each call uses O(1) time, so the overall running time will be proportional to
the total number of recursive invocations. To analyze the problem, we let n denote
the number of entries under consideration, that is, let n= stop − start.
If n = 1, then the running time of unique3 is O(1), since there are no recursive
calls for this case. In the general case, the important observation is that a single call
to unique3 for a problem of size n may result in two recursive calls on problems of
size n − 1. Those two calls with size n − 1 could in turn result in four calls (two
each) with a range of size n − 2, and thus eight calls with size n − 3 and so on.
Thus, in the worst case, the total number of function calls is given by the geometric
summation
1 + 2 + 4 + · · · + 2n−1 ,
which is equal to 2n − 1 by Proposition 3.5. Thus, the running time of function
unique3 is O(2n ). This is an incredibly inefficient function for solving the element uniqueness problem. Its inefficiency comes not from the fact that it uses
recursion—it comes from the fact that it uses recursion poorly, which is something
we address in Exercise C-4.11.
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Chapter 4. Recursion
166
An Inefficient Recursion for Computing Fibonacci Numbers
In Section 1.8, we introduced a process for generating the Fibonacci numbers,
which can be defined recursively as follows:
F0 = 0
F1 = 1
Fn = Fn−2 + Fn−1 for n > 1.
Ironically, a direct implementation based on this definition results in the function
bad fibonacci shown in Code Fragment 4.7, which computes the sequence of Fibonacci numbers by making two recursive calls in each non-base case.
1 def bad fibonacci(n):
2
”””Return the nth Fibonacci number.”””
3
if n <= 1:
4
return n
5
else:
6
return bad fibonacci(n−2) + bad fibonacci(n−1)
Code Fragment 4.7: Computing the nth Fibonacci number using binary recursion.
Unfortunately, such a direct implementation of the Fibonacci formula results
in a terribly inefficient function. Computing the nth Fibonacci number in this way
requires an exponential number of calls to the function. Specifically, let cn denote
the number of calls performed in the execution of bad fibonacci(n). Then, we have
the following values for the cn ’s:
c0 = 1
c1 = 1
c2 = 1 + c0 + c1 = 1 + 1 + 1 = 3
c3 = 1 + c1 + c2 = 1 + 1 + 3 = 5
c4 = 1 + c2 + c3 = 1 + 3 + 5 = 9
c5 = 1 + c3 + c4 = 1 + 5 + 9 = 15
c6 = 1 + c4 + c5 = 1 + 9 + 15 = 25
c7 = 1 + c5 + c6 = 1 + 15 + 25 = 41
c8 = 1 + c6 + c7 = 1 + 25 + 41 = 67
If we follow the pattern forward, we see that the number of calls more than doubles
for each two consecutive indices. That is, c4 is more than twice c2 , c5 is more than
twice c3 , c6 is more than twice c4 , and so on. Thus, cn > 2n/2 , which means that
bad fibonacci(n) makes a number of calls that is exponential in n.
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4.3. Recursion Run Amok
167
An Efficient Recursion for Computing Fibonacci Numbers
We were tempted into using the bad recursion formulation because of the way the
nth Fibonacci number, Fn , depends on the two previous values, Fn−2 and Fn−1 . But
notice that after computing Fn−2 , the call to compute Fn−1 requires its own recursive
call to compute Fn−2 , as it does not have knowledge of the value of Fn−2 that was
computed at the earlier level of recursion. That is duplicative work. Worse yet, both
of those calls will need to (re)compute the value of Fn−3 , as will the computation
of Fn−1 . This snowballing effect is what leads to the exponential running time of
bad recursion.
We can compute Fn much more efficiently using a recursion in which each invocation makes only one recursive call. To do so, we need to redefine the expectations
of the function. Rather than having the function return a single value, which is the
nth Fibonacci number, we define a recursive function that returns a pair of consecutive Fibonacci numbers (Fn , Fn−1 ), using the convention F−1 = 0. Although
it seems to be a greater burden to report two consecutive Fibonacci numbers instead of one, passing this extra information from one level of the recursion to the
next makes it much easier to continue the process. (It allows us to avoid having
to recompute the second value that was already known within the recursion.) An
implementation based on this strategy is given in Code Fragment 4.8.
1 def good fibonacci(n):
2
”””Return pair of Fibonacci numbers, F(n) and F(n-1).”””
3
if n <= 1:
4
return (n,0)
5
else:
6
(a, b) = good fibonacci(n−1)
7
return (a+b, a)
Code Fragment 4.8: Computing the nth Fibonacci number using linear recursion.
In terms of efficiency, the difference between the bad recursion and the good
recursion for this problem is like night and day. The bad fibonacci function uses
exponential time. We claim that the execution of function good fibonacci(n) takes
O(n) time. Each recursive call to good fibonacci decreases the argument n by 1;
therefore, a recursion trace includes a series of n function calls. Because the nonrecursive work for each call uses constant time, the overall computation executes in
O(n) time.
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Chapter 4. Recursion
168
4.3.1 Maximum Recursive Depth in Python
Another danger in the misuse of recursion is known as infinite recursion. If each
recursive call makes another recursive call, without ever reaching a base case, then
we have an infinite series of such calls. This is a fatal error. An infinite recursion
can quickly swamp computing resources, not only due to rapid use of the CPU,
but because each successive call creates an activation record requiring additional
memory. A blatant example of an ill-formed recursion is the following:
def fib(n):
return fib(n)
# fib(n) equals fib(n)
However, there are far more subtle errors that can lead to an infinite recursion.
Revisiting our implementation of binary search in Code Fragment 4.3, in the final
case (line 17) we make a recursive call on the right portion of the sequence, in
particular going from index mid+1 to high. Had that line instead been written as
return binary search(data, target, mid, high)
# note the use of mid
this could result in an infinite recursion. In particular, when searching a range of
two elements, it becomes possible to make a recursive call on the identical range.
A programmer should ensure that each recursive call is in some way progressing toward a base case (for example, by having a parameter value that decreases
with each call). However, to combat against infinite recursions, the designers of
Python made an intentional decision to limit the overall number of function activations that can be simultaneously active. The precise value of this limit depends
upon the Python distribution, but a typical default value is 1000. If this limit is
reached, the Python interpreter raises a RuntimeError with a message, maximum
recursion depth exceeded.
For many legitimate applications of recursion, a limit of 1000 nested function
calls suffices. For example, our binary search function (Section 4.1.3) has O(log n)
recursive depth, and so for the default recursive limit to be reached, there would
need to be 21000 elements (far, far more than the estimated number of atoms in the
universe). However, in the next section we discuss several algorithms that have
recursive depth proportional to n. Python’s artificial limit on the recursive depth
could disrupt such otherwise legitimate computations.
Fortunately, the Python interpreter can be dynamically reconfigured to change
the default recursive limit. This is done through use of a module named sys, which
supports a getrecursionlimit function and a setrecursionlimit. Sample usage of
those functions is demonstrated as follows:
import sys
old = sys.getrecursionlimit( )
sys.setrecursionlimit(1000000)
# perhaps 1000 is typical
# change to allow 1 million nested calls
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4.4. Further Examples of Recursion
4.4
169
Further Examples of Recursion
In the remainder of this chapter, we provide additional examples of the use of recursion. We organize our presentation by considering the maximum number of
recursive calls that may be started from within the body of a single activation.
• If a recursive call starts at most one other, we call this a linear recursion.
• If a recursive call may start two others, we call this a binary recursion.
• If a recursive call may start three or more others, this is multiple recursion.
4.4.1 Linear Recursion
If a recursive function is designed so that each invocation of the body makes at
most one new recursive call, this is know as linear recursion. Of the recursions we
have seen so far, the implementation of the factorial function (Section 4.1.1) and
the good fibonacci function (Section 4.3) are clear examples of linear recursion.
More interestingly, the binary search algorithm (Section 4.1.3) is also an example
of linear recursion, despite the “binary” terminology in the name. The code for
binary search (Code Fragment 4.3) includes a case analysis with two branches that
lead to recursive calls, but only one of those calls can be reached during a particular
execution of the body.
A consequence of the definition of linear recursion is that any recursion trace
will appear as a single sequence of calls, as we originally portrayed for the factorial
function in Figure 4.1 of Section 4.1.1. Note that the linear recursion terminology reflects the structure of the recursion trace, not the asymptotic analysis of the
running time; for example, we have seen that binary search runs in O(log n) time.
Summing the Elements of a Sequence Recursively
Linear recursion can be a useful tool for processing a data sequence, such as a
Python list. Suppose, for example, that we want to compute the sum of a sequence,
S, of n integers. We can solve this summation problem using linear recursion by
observing that the sum of all n integers in S is trivially 0, if n = 0, and otherwise
that it is the sum of the first n − 1 integers in S plus the last element in S. (See
Figure 4.9.)
0
1
2
3
4
5
6
7
8
9 10 11 12 13 14 15
4
3
6
2
8
9
3
2
8
5
1
7
2
8
3
7
Figure 4.9: Computing the sum of a sequence recursively, by adding the last number
to the sum of the first n − 1.
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Chapter 4. Recursion
170
A recursive algorithm for computing the sum of a sequence of numbers based
on this intuition is implemented in Code Fragment 4.9.
1 def linear sum(S, n):
2
”””Return the sum of the first n numbers of sequence S.”””
3
if n == 0:
4
return 0
5
else:
6
return linear sum(S, n−1) + S[n−1]
Code Fragment 4.9: Summing the elements of a sequence using linear recursion.
A recursion trace of the linear sum function for a small example is given in
Figure 4.10. For an input of size n, the linear sum algorithm makes n + 1 function
calls. Hence, it will take O(n) time, because it spends a constant amount of time
performing the nonrecursive part of each call. Moreover, we can also see that the
memory space used by the algorithm (in addition to the sequence S) is also O(n), as
we use a constant amount of memory space for each of the n + 1 activation records
in the trace at the time we make the final recursive call (with n = 0).
return 15 + S[4] = 15 + 8 = 23
linear sum(S, 5)
return 13 + S[3] = 13 + 2 = 15
linear sum(S, 4)
return 7 + S[2] = 7 + 6 = 13
linear sum(S, 3)
return 4 + S[1] = 4 + 3 = 7
linear sum(S, 2)
return 0 + S[0] = 0 + 4 = 4
linear sum(S, 1)
return 0
linear sum(S, 0)
Figure 4.10: Recursion trace for an execution of linear sum(S, 5) with input parameter S = [4, 3, 6, 2, 8].
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4.4. Further Examples of Recursion
171
Reversing a Sequence with Recursion
Next, let us consider the problem of reversing the n elements of a sequence, S, so
that the first element becomes the last, the second element becomes second to the
last, and so on. We can solve this problem using linear recursion, by observing that
the reversal of a sequence can be achieved by swapping the first and last elements
and then recursively reversing the remaining elements. We present an implementation of this algorithm in Code Fragment 4.10, using the convention that the first
time we call this algorithm we do so as reverse(S, 0, len(S)).
1 def reverse(S, start, stop):
2
”””Reverse elements in implicit slice S[start:stop].”””
3
if start < stop − 1:
# if at least 2 elements:
4
S[start], S[stop−1] = S[stop−1], S[start]
# swap first and last
5
reverse(S, start+1, stop−1)
# recur on rest
Code Fragment 4.10: Reversing the elements of a sequence using linear recursion.
Note that there are two implicit base case scenarios: When start == stop, the
implicit range is empty, and when start == stop−1, the implicit range has only
one element. In either of these cases, there is no need for action, as a sequence
with zero elements or one element is trivially equal to its reversal. When otherwise
invoking recursion, we are guaranteed to make progress towards a base case, as
the difference, stop−start, decreases by two with each call (see Figure 4.11). If n
is even, we will eventually reach the start == stop case, and if n is odd, we will
eventually reach the start == stop − 1 case.
The above argument implies that the recursive
algorithm of Code Fragment 4.10
is guaranteed to terminate after a total of 1 + n2 recursive calls. Since each call
involves a constant amount of work, the entire process runs in O(n) time.
0
1
2
3
4
5
6
4
3
6
2
8
9
5
5
3
6
2
8
9
4
5
9
6
2
8
3
4
5
9
8
2
6
3
4
5
9
8
2
6
3
4
Figure 4.11: A trace of the recursion for reversing a sequence. The shaded portion
has yet to be reversed.
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Chapter 4. Recursion
172
Recursive Algorithms for Computing Powers
As another interesting example of the use of linear recursion, we consider the problem of raising a number x to an arbitrary nonnegative integer, n. That is, we wish
to compute the power function, defined as power(x, n) = xn . (We use the name
“power” for this discussion, to differentiate from the built-in function pow that provides such functionality.) We will consider two different recursive formulations for
the problem that lead to algorithms with very different performance.
A trivial recursive definition follows from the fact that xn = x · xn−1 for n > 0.
1
if n = 0
power(x, n) =
x · power(x, n − 1) otherwise.
This definition leads to a recursive algorithm shown in Code Fragment 4.11.
1 def power(x, n):
2
”””Compute the value x n for integer n.”””
3
if n == 0:
4
return 1
5
else:
6
return x power(x, n−1)
Code Fragment 4.11: Computing the power function using trivial recursion.
A recursive call to this version of power(x, n) runs in O(n) time. Its recursion
trace has structure very similar to that of the factorial function from Figure 4.1,
with the parameter decreasing by one with each call, and constant work performed
at each of n + 1 levels.
However, there is a much faster way to compute the power function
using an
alternative definition that employs a squaring technique. Let k = n2 denote the
floor of the division (expressed as n // 2 in Python). We consider the expression
n 2
2
2
xk . When n is even, n2 = n2 and therefore xk = x 2 = xn . When n is odd,
n n−1
k 2 = xn−1 , and therefore xn = x · xk 2 , just as 213 = 2 · 26 · 26 .
2 = 2 and x
This analysis leads to the following recursive definition:
⎧
⎪
if n = 0
⎨ 1
2
if n > 0 is odd
power(x, n) =
x · power x, n2
⎪
⎩ power x, n 2
if n > 0 is even
2
If we were
to implement
n this recursion making two recursive calls to compute
n
power(x, 2 ) · power(x, 2 ), a trace of the recursion would demonstrate O(n)
calls. We can perform significantly fewer operations by computing power(x, n2 )
as a partial result, and then multiplying it by itself. An implementation based on
this recursive definition is given in Code Fragment 4.12.
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4.4. Further Examples of Recursion
173
1 def power(x, n):
2
”””Compute the value x n for integer n.”””
3
if n == 0:
4
return 1
5
else:
6
partial = power(x, n // 2)
# rely on truncated division
7
result = partial partial
8
if n % 2 == 1:
# if n odd, include extra factor of x
9
result = x
10
return result
Code Fragment 4.12: Computing the power function using repeated squaring.
To illustrate the execution of our improved algorithm, Figure 4.12 provides a
recursion trace of the computation power(2, 13).
return 64
64
2 = 8192
power(2, 13)
return 8
8 = 64
power(2, 6)
return 2
2
2=8
power(2, 3)
return 1
1
2=2
power(2, 1)
return 1
power(2, 0)
Figure 4.12: Recursion trace for an execution of power(2, 13).
To analyze the running time of the revised algorithm, we observe that the exponent in each recursive call of function power(x,n) is at most half of the preceding
exponent. As we saw with the analysis of binary search, the number of times that
we can divide n in half before getting to one or less is O(log n). Therefore, our new
formulation of the power function results in O(log n) recursive calls. Each individual activation of the function uses O(1) operations (excluding the recursive calls),
and so the total number of operations for computing power(x,n) is O(log n). This
is a significant improvement over the original O(n)-time algorithm.
The improved version also provides significant saving in reducing the memory
usage. The first version has a recursive depth of O(n), and therefore O(n) activation
records are simultaneous stored in memory. Because the recursive depth of the
improved version is O(log n), its memory usages is O(log n) as well.
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Chapter 4. Recursion
174
4.4.2 Binary Recursion
When a function makes two recursive calls, we say that it uses binary recursion.
We have already seen several examples of binary recursion, most notably when
drawing the English ruler (Section 4.1.2), or in the bad fibonacci function of Section 4.3. As another application of binary recursion, let us revisit the problem of
summing the n elements of a sequence, S, of numbers. Computing the sum of one
or zero elements is trivial. With two or more elements, we can recursively compute the sum of the first half, and the sum of the second half, and add these sums
together. Our implementation of such an algorithm, in Code Fragment 4.13, is
initially invoked as binary sum(A, 0, len(A)).
1 def binary sum(S, start, stop):
2
”””Return the sum of the numbers in implicit slice S[start:stop].”””
3
if start >= stop:
# zero elements in slice
4
return 0
5
elif start == stop−1:
# one element in slice
6
return S[start]
7
else:
# two or more elements in slice
8
mid = (start + stop) // 2
9
return binary sum(S, start, mid) + binary sum(S, mid, stop)
Code Fragment 4.13: Summing the elements of a sequence using binary recursion.
To analyze algorithm binary sum, we consider, for simplicity, the case where
n is a power of two. Figure 4.13 shows the recursion trace of an execution of
binary sum(0, 8). We label each box with the values of parameters start:stop
for that call. The size of the range is divided in half at each recursive call, and
so the depth of the recursion is 1 + log2 n. Therefore, binary sum uses O(log n)
amount of additional space, which is a big improvement over the O(n) space used
by the linear sum function of Code Fragment 4.9. However, the running time of
binary sum is O(n), as there are 2n − 1 function calls, each requiring constant time.
0:8
0:4
4:8
0:2
0:1
2:4
1:2
2:3
4:6
3:4
4:5
6:8
5:6
6:7
7:8
Figure 4.13: Recursion trace for the execution of binary sum(0, 8).
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4.4. Further Examples of Recursion
175
4.4.3 Multiple Recursion
Generalizing from binary recursion, we define multiple recursion as a process in
which a function may make more than two recursive calls. Our recursion for analyzing the disk space usage of a file system (see Section 4.1.4) is an example of
multiple recursion, because the number of recursive calls made during one invocation was equal to the number of entries within a given directory of the file system.
Another common application of multiple recursion is when we want to enumerate various configurations in order to solve a combinatorial puzzle. For example,
the following are all instances of what are known as summation puzzles:
pot + pan = bib
dog + cat = pig
boy + girl = baby
To solve such a puzzle, we need to assign a unique digit (that is, 0, 1, . . . , 9) to each
letter in the equation, in order to make the equation true. Typically, we solve such
a puzzle by using our human observations of the particular puzzle we are trying
to solve to eliminate configurations (that is, possible partial assignments of digits
to letters) until we can work though the feasible configurations left, testing for the
correctness of each one.
If the number of possible configurations is not too large, however, we can use
a computer to simply enumerate all the possibilities and test each one, without
employing any human observations. In addition, such an algorithm can use multiple
recursion to work through the configurations in a systematic way. We show pseudocode for such an algorithm in Code Fragment 4.14. To keep the description general
enough to be used with other puzzles, the algorithm enumerates and tests all klength sequences without repetitions of the elements of a given universe U . We
build the sequences of k elements by the following steps:
1. Recursively generating the sequences of k − 1 elements
2. Appending to each such sequence an element not already contained in it.
Throughout the execution of the algorithm, we use a set U to keep track of the
elements not contained in the current sequence, so that an element e has not been
used yet if and only if e is in U .
Another way to look at the algorithm of Code Fragment 4.14 is that it enumerates every possible size-k ordered subset of U , and tests each subset for being a
possible solution to our puzzle.
For summation puzzles, U = {0, 1, 2, 3, 4, 5, 6, 7, 8, 9} and each position in the
sequence corresponds to a given letter. For example, the first position could stand
for b, the second for o, the third for y, and so on.
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Chapter 4. Recursion
176
Algorithm PuzzleSolve(k,S,U):
Input: An integer k, sequence S, and set U
Output: An enumeration of all k-length extensions to S using elements in U
without repetitions
for each e in U do
Add e to the end of S
Remove e from U
{e is now being used}
if k == 1 then
Test whether S is a configuration that solves the puzzle
if S solves the puzzle then
return “Solution found: ” S
else
PuzzleSolve(k−1,S,U)
{a recursive call}
Remove e from the end of S
Add e back to U
{e is now considered as unused}
Code Fragment 4.14: Solving a combinatorial puzzle by enumerating and testing
all possible configurations.
In Figure 4.14, we show a recursion trace of a call to PuzzleSolve(3, S,U ),
where S is empty and U = {a, b, c}. During the execution, all the permutations
of the three characters are generated and tested. Note that the initial call makes
three recursive calls, each of which in turn makes two more. If we had executed
PuzzleSolve(3, S,U ) on a set U consisting of four elements, the initial call would
have made four recursive calls, each of which would have a trace looking like the
one in Figure 4.14.
initial call
PuzzleSolve(3, ( ), {a,b,c})
PuzzleSolve(2, a, {b,c})
PuzzleSolve(1, ab, {c})
abc
PuzzleSolve(2, b, {a,c})
PuzzleSolve(1, ba, {c})
bac
PuzzleSolve(1, ac, {b})
acb
PuzzleSolve(2, c, {a,b})
PuzzleSolve(1, ca, {b})
cab
PuzzleSolve(1, bc, {a})
bca
PuzzleSolve(1, cb, {a})
cba
Figure 4.14: Recursion trace for an execution of PuzzleSolve(3, S,U ), where S is
empty and U = {a, b, c}. This execution generates and tests all permutations of a, b,
and c. We show the permutations generated directly below their respective boxes.
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4.5. Designing Recursive Algorithms
4.5
177
Designing Recursive Algorithms
In general, an algorithm that uses recursion typically has the following form:
• Test for base cases. We begin by testing for a set of base cases (there should
be at least one). These base cases should be defined so that every possible
chain of recursive calls will eventually reach a base case, and the handling of
each base case should not use recursion.
• Recur. If not a base case, we perform one or more recursive calls. This recursive step may involve a test that decides which of several possible recursive
calls to make. We should define each possible recursive call so that it makes
progress towards a base case.
Parameterizing a Recursion
To design a recursive algorithm for a given problem, it is useful to think of the
different ways we might define subproblems that have the same general structure
as the original problem. If one has difficulty finding the repetitive structure needed
to design a recursive algorithm, it is sometimes useful to work out the problem on
a few concrete examples to see how the subproblems should be defined.
A successful recursive design sometimes requires that we redefine the original
problem to facilitate similar-looking subproblems. Often, this involved reparameterizing the signature of the function. For example, when performing a binary
search in a sequence, a natural function signature for a caller would appear as
binary search(data, target). However, in Section 4.1.3, we defined our function
with calling signature binary search(data, target, low, high), using the additional
parameters to demarcate sublists as the recursion proceeds. This change in parameterization is critical for binary search. If we had insisted on the cleaner signature,
binary search(data, target), the only way to invoke a search on half the list would
have been to make a new list instance with only those elements to send as the first
parameter. However, making a copy of half the list would already take O(n) time,
negating the whole benefit of the binary search algorithm.
If we wished to provide a cleaner public interface to an algorithm like binary search, without bothering a user with the extra parameters, a standard technique is to make one function for public use with the cleaner interface, such as
binary search(data, target), and then having its body invoke a nonpublic utility
function having the desired recursive parameters.
You will see that we similarly reparameterized the recursion in several other examples of this chapter (e.g., reverse, linear sum, binary sum). We saw a different
approach to redefining a recursion in our good fibonacci implementation, by intentionally strengthening the expectation of what is returned (in that case, returning
a pair of numbers rather than a single number).
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Chapter 4. Recursion
178
4.6
Eliminating Tail Recursion
The main benefit of a recursive approach to algorithm design is that it allows us to
succinctly take advantage of a repetitive structure present in many problems. By
making our algorithm description exploit the repetitive structure in a recursive way,
we can often avoid complex case analyses and nested loops. This approach can
lead to more readable algorithm descriptions, while still being quite efficient.
However, the usefulness of recursion comes at a modest cost. In particular, the
Python interpreter must maintain activation records that keep track of the state of
each nested call. When computer memory is at a premium, it is useful in some
cases to be able to derive nonrecursive algorithms from recursive ones.
In general, we can use the stack data structure, which we will introduce in
Section 6.1, to convert a recursive algorithm into a nonrecursive algorithm by managing the nesting of the recursive structure ourselves, rather than relying on the
interpreter to do so. Although this only shifts the memory usage from the interpreter to our stack, we may be able to reduce the memory usage by storing only the
minimal information necessary.
Even better, some forms of recursion can be eliminated without any use of
axillary memory. A notable such form is known as tail recursion. A recursion
is a tail recursion if any recursive call that is made from one context is the very
last operation in that context, with the return value of the recursive call (if any)
immediately returned by the enclosing recursion. By necessity, a tail recursion
must be a linear recursion (since there is no way to make a second recursive call if
you must immediately return the result of the first).
Of the recursive functions demonstrated in this chapter, the binary search function of Code Fragment 4.3 and the reverse function of Code Fragment 4.10 are
examples of tail recursion. Several others of our linear recursions are almost like
tail recursion, but not technically so. For example, our factorial function of Code
Fragment 4.1 is not a tail recursion. It concludes with the command:
return n
factorial(n−1)
This is not a tail recursion because an additional multiplication is performed after
the recursive call is completed. For similar reasons, the linear sum function of
Code Fragment 4.9 and the good fibonacci function of Code Fragment 4.7 fail to
be tail recursions.
Any tail recursion can be reimplemented nonrecursively by enclosing the body
in a loop for repetition, and replacing a recursive call with new parameters by a
reassignment of the existing parameters to those values. As a tangible example, our
binary search function can be reimplemented as shown in Code Fragment 4.15.
We initialize variables low and high, just prior to our while loop, to represent the
full extent of the sequence. Then, during each pass of the loop, we either find
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4.6. Eliminating Tail Recursion
179
1 def binary search iterative(data, target):
2
”””Return True if target is found in the
3
low = 0
4
high = len(data)−1
5
while low <= high:
6
mid = (low + high) // 2
7
if target == data[mid]:
8
return True
9
elif target < data[mid]:
10
high = mid − 1
11
else:
12
low = mid + 1
13
return False
given Python list.”””
# found a match
# only consider values left of mid
# only consider values right of mid
# loop ended without success
Code Fragment 4.15: A nonrecursive implementation of binary search.
the target, or we narrow the range of the candidate subsequence. Where we made
the recursive call binary search(data, target, low, mid −1) in the original version,
we simply replace high = mid − 1 in our new version and then continue to the
next iteration of the loop. Our original base case condition of low > high has
simply been replaced by the opposite loop condition while low <= high. In our
new implementation, we return False to designate a failed search if the while loop
ends (that is, without having ever returned True from within).
We can similarly develop a nonrecursive implementation (Code Fragment 4.16)
of the original recursive reverse method of Code Fragment 4.10.
1 def reverse iterative(S):
2
”””Reverse elements in sequence S.”””
3
start, stop = 0, len(S)
4
while start < stop − 1:
5
S[start], S[stop−1] = S[stop−1], S[start]
6
start, stop = start + 1, stop − 1
# swap first and last
# narrow the range
Code Fragment 4.16: Reversing the elements of a sequence using iteration.
In this new version, we update the values start and stop during each pass of the
loop, exiting once we reach the case of having one or less elements in that range.
Many other linear recursions can be expressed quite efficiently with iteration,
even if they were not formally tail recursions. For example, there are trivial nonrecursive implementations for computing factorials, summing elements of a sequence, or computing Fibonacci numbers efficiently. In fact, our implementation
of a Fibonacci generator, from Section 1.8, produces each subsequent value in O(1)
time, and thus takes O(n) time to generate the nth entry in the series.
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Chapter 4. Recursion
180
4.7
Exercises
For help with exercises, please visit the site, www.wiley.com/college/goodrich.
Reinforcement
R-4.1 Describe a recursive algorithm for finding the maximum element in a sequence, S, of n elements. What is your running time and space usage?
R-4.2 Draw the recursion trace for the computation of power(2, 5), using the
traditional function implemented in Code Fragment 4.11.
R-4.3 Draw the recursion trace for the computation of power(2, 18), using the
repeated squaring algorithm, as implemented in Code Fragment 4.12.
R-4.4 Draw the recursion trace for the execution of function reverse(S, 0, 5)
(Code Fragment 4.10) on S = [4, 3, 6, 2, 6].
R-4.5 Draw the recursion trace for the execution of function PuzzleSolve(3, S,U )
(Code Fragment 4.14), where S is empty and U = {a, b, c, d}.
R-4.6 Describe a recursive function for computing the nth Harmonic number,
Hn = ∑ni=1 1/i.
R-4.7 Describe a recursive function for converting a string of digits into the integer it represents. For example, 13531 represents the integer 13, 531.
R-4.8 Isabel has an interesting way of summing up the values in a sequence A of
n integers, where n is a power of two. She creates a new sequence B of half
the size of A and sets B[i] = A[2i] + A[2i + 1], for i = 0, 1, . . . , (n/2) − 1. If
B has size 1, then she outputs B[0]. Otherwise, she replaces A with B, and
repeats the process. What is the running time of her algorithm?
Creativity
C-4.9 Write a short recursive Python function that finds the minimum and maximum values in a sequence without using any loops.
C-4.10 Describe a recursive algorithm to compute the integer part of the base-two
logarithm of n using only addition and integer division.
C-4.11 Describe an efficient recursive function for solving the element uniqueness problem, which runs in time that is at most O(n2 ) in the worst case
without using sorting.
C-4.12 Give a recursive algorithm to compute the product of two positive integers,
m and n, using only addition and subtraction.
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4.7. Exercises
181
C-4.13 In Section 4.2 we prove by induction that the number of lines printed by
a call to draw interval(c) is 2c − 1. Another interesting question is how
many dashes are printed during that process. Prove by induction that the
number of dashes printed by draw interval(c) is 2c+1 − c − 2.
C-4.14 In the Towers of Hanoi puzzle, we are given a platform with three pegs, a,
b, and c, sticking out of it. On peg a is a stack of n disks, each larger than
the next, so that the smallest is on the top and the largest is on the bottom.
The puzzle is to move all the disks from peg a to peg c, moving one disk
at a time, so that we never place a larger disk on top of a smaller one.
See Figure 4.15 for an example of the case n = 4. Describe a recursive
algorithm for solving the Towers of Hanoi puzzle for arbitrary n. (Hint:
Consider first the subproblem of moving all but the nth disk from peg a to
another peg using the third as “temporary storage.”)
Figure 4.15: An illustration of the Towers of Hanoi puzzle.
C-4.15 Write a recursive function that will output all the subsets of a set of n
elements (without repeating any subsets).
C-4.16 Write a short recursive Python function that takes a character string s and
outputs its reverse. For example, the reverse of pots&pans would be
snap&stop .
C-4.17 Write a short recursive Python function that determines if a string s is a
palindrome, that is, it is equal to its reverse. For example, racecar and
gohangasalamiimalasagnahog are palindromes.
C-4.18 Use recursion to write a Python function for determining if a string s has
more vowels than consonants.
C-4.19 Write a short recursive Python function that rearranges a sequence of integer values so that all the even values appear before all the odd values.
C-4.20 Given an unsorted sequence, S, of integers and an integer k, describe a
recursive algorithm for rearranging the elements in S so that all elements
less than or equal to k come before any elements larger than k. What is
the running time of your algorithm on a sequence of n values?
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Chapter 4. Recursion
182
C-4.21 Suppose you are given an n-element sequence, S, containing distinct integers that are listed in increasing order. Given a number k, describe a
recursive algorithm to find two integers in S that sum to k, if such a pair
exists. What is the running time of your algorithm?
C-4.22 Develop a nonrecursive implementation of the version of power from
Code Fragment 4.12 that uses repeated squaring.
Projects
P-4.23 Implement a recursive function with signature find(path, filename) that
reports all entries of the file system rooted at the given path having the
given file name.
P-4.24 Write a program for solving summation puzzles by enumerating and testing all possible configurations. Using your program, solve the three puzzles given in Section 4.4.3.
P-4.25 Provide a nonrecursive implementation of the draw interval function for
the English ruler project of Section 4.1.2. There should be precisely 2c − 1
lines of output if c represents the length of the center tick. If incrementing
a counter from 0 to 2c − 2, the number of dashes for each tick line should
be exactly one more than the number of consecutive 1’s at the end of the
binary representation of the counter.
P-4.26 Write a program that can solve instances of the Tower of Hanoi problem
(from Exercise C-4.14).
P-4.27 Python’s os module provides a function with signature walk(path) that
is a generator yielding the tuple (dirpath, dirnames, filenames) for each
subdirectory of the directory identified by string path, such that string
dirpath is the full path to the subdirectory, dirnames is a list of the names
of the subdirectories within dirpath, and filenames is a list of the names
of non-directory entries of dirpath. For example, when visiting the cs016
subdirectory of the file system shown in Figure 4.6, the walk would yield
( /user/rt/courses/cs016 , [ homeworks , programs ], [ grades ]).
Give your own implementation of such a walk function.
Chapter Notes
The use of recursion in programs belongs to the folkore of computer science (for example,
see the article of Dijkstra [36]). It is also at the heart of functional programming languages
(for example, see the classic book by Abelson, Sussman, and Sussman [1]). Interestingly,
binary search was first published in 1946, but was not published in a fully correct form
until 1962. For further discussions on lessons learned, please see papers by Bentley [14]
and Lesuisse [68].
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Chapter
5
Array-Based Sequences
Contents
5.1
5.2
5.3
5.4
5.5
5.6
5.7
Python’s Sequence Types . . . . . . . . .
Low-Level Arrays . . . . . . . . . . . . . .
5.2.1 Referential Arrays . . . . . . . . . . .
5.2.2 Compact Arrays in Python . . . . . .
Dynamic Arrays and Amortization . . . .
5.3.1 Implementing a Dynamic Array . . . .
5.3.2 Amortized Analysis of Dynamic Arrays
5.3.3 Python’s List Class . . . . . . . . . .
Efficiency of Python’s Sequence Types .
5.4.1 Python’s List and Tuple Classes . . .
5.4.2 Python’s String Class . . . . . . . . .
Using Array-Based Sequences . . . . . .
5.5.1 Storing High Scores for a Game . . .
5.5.2 Sorting a Sequence . . . . . . . . . .
5.5.3 Simple Cryptography . . . . . . . . .
Multidimensional Data Sets . . . . . . . .
Exercises . . . . . . . . . . . . . . . . . .
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Chapter 5. Array-Based Sequences
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5.1
Python’s Sequence Types
In this chapter, we explore Python’s various “sequence” classes, namely the builtin list, tuple, and str classes. There is significant commonality between these
classes, most notably: each supports indexing to access an individual element of a
sequence, using a syntax such as seq[k], and each uses a low-level concept known
as an array to represent the sequence. However, there are significant differences in
the abstractions that these classes represent, and in the way that instances of these
classes are represented internally by Python. Because these classes are used so
widely in Python programs, and because they will become building blocks upon
which we will develop more complex data structures, it is imperative that we establish a clear understanding of both the public behavior and inner workings of these
classes.
Public Behaviors
A proper understanding of the outward semantics for a class is a necessity for a
good programmer. While the basic usage of lists, strings, and tuples may seem
straightforward, there are several important subtleties regarding the behaviors associated with these classes (such as what it means to make a copy of a sequence, or
to take a slice of a sequence). Having a misunderstanding of a behavior can easily
lead to inadvertent bugs in a program. Therefore, we establish an accurate mental model for each of these classes. These images will help when exploring more
advanced usage, such as representing a multidimensional data set as a list of lists.
Implementation Details
A focus on the internal implementations of these classes seems to go against our
stated principles of object-oriented programming. In Section 2.1.2, we emphasized
the principle of encapsulation, noting that the user of a class need not know about
the internal details of the implementation. While it is true that one only needs to
understand the syntax and semantics of a class’s public interface in order to be able
to write legal and correct code that uses instances of the class, the efficiency of a
program depends greatly on the efficiency of the components upon which it relies.
Asymptotic and Experimental Analyses
In describing the efficiency of various operations for Python’s sequence classes,
we will rely on the formal asymptotic analysis notations established in Chapter 3.
We will also perform experimental analyses of the primary operations to provide
empirical evidence that is consistent with the more theoretical asymptotic analyses.
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5.2. Low-Level Arrays
Low-Level Arrays
To accurately describe the way in which Python represents the sequence types,
we must first discuss aspects of the low-level computer architecture. The primary
memory of a computer is composed of bits of information, and those bits are typically grouped into larger units that depend upon the precise system architecture.
Such a typical unit is a byte, which is equivalent to 8 bits.
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A computer system will have a huge number of bytes of memory, and to keep
track of what information is stored in what byte, the computer uses an abstraction
known as a memory address. In effect, each byte of memory is associated with a
unique number that serves as its address (more formally, the binary representation
of the number serves as the address). In this way, the computer system can refer
to the data in “byte #2150” versus the data in “byte #2157,” for example. Memory
addresses are typically coordinated with the physical layout of the memory system,
and so we often portray the numbers in sequential fashion. Figure 5.1 provides
such a diagram, with the designated memory address for each byte.
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Figure 5.1: A representation of a portion of a computer’s memory, with individual
bytes labeled with consecutive memory addresses.
Despite the sequential nature of the numbering system, computer hardware is
designed, in theory, so that any byte of the main memory can be efficiently accessed
based upon its memory address. In this sense, we say that a computer’s main memory performs as random access memory (RAM). That is, it is just as easy to retrieve
byte #8675309 as it is to retrieve byte #309. (In practice, there are complicating
factors including the use of caches and external memory; we address some of those
issues in Chapter 15.) Using the notation for asymptotic analysis, we say that any
individual byte of memory can be stored or retrieved in O(1) time.
In general, a programming language keeps track of the association between
an identifier and the memory address in which the associated value is stored. For
example, identifier x might be associated with one value stored in memory, while y
is associated with another value stored in memory. A common programming task
is to keep track of a sequence of related objects. For example, we may want a video
game to keep track of the top ten scores for that game. Rather than use ten different
variables for this task, we would prefer to use a single name for the group and use
index numbers to refer to the high scores in that group.
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Chapter 5. Array-Based Sequences
186
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A group of related variables can be stored one after another in a contiguous
portion of the computer’s memory. We will denote such a representation as an
array. As a tangible example, a text string is stored as an ordered sequence of
individual characters. In Python, each character is represented using the Unicode
character set, and on most computing systems, Python internally represents each
Unicode character with 16 bits (i.e., 2 bytes). Therefore, a six-character string, such
as SAMPLE , would be stored in 12 consecutive bytes of memory, as diagrammed
in Figure 5.2.
Figure 5.2: A Python string embedded as an array of characters in the computer’s
memory. We assume that each Unicode character of the string requires two bytes
of memory. The numbers below the entries are indices into the string.
We describe this as an array of six characters, even though it requires 12 bytes
of memory. We will refer to each location within an array as a cell, and will use an
integer index to describe its location within the array, with cells numbered starting
with 0, 1, 2, and so on. For example, in Figure 5.2, the cell of the array with index 4
has contents L and is stored in bytes 2154 and 2155 of memory.
Each cell of an array must use the same number of bytes. This requirement is
what allows an arbitrary cell of the array to be accessed in constant time based on
its index. In particular, if one knows the memory address at which an array starts
(e.g., 2146 in Figure 5.2), the number of bytes per element (e.g., 2 for a Unicode
character), and a desired index within the array, the appropriate memory address
can be computed using the calculation, start + cellsize index. By this formula,
the cell at index 0 begins precisely at the start of the array, the cell at index 1 begins
precisely cellsize bytes beyond the start of the array, and so on. As an example,
cell 4 of Figure 5.2 begins at memory location 2146 + 2 · 4 = 2146 + 8 = 2154.
Of course, the arithmetic for calculating memory addresses within an array can
be handled automatically. Therefore, a programmer can envision a more typical
high-level abstraction of an array of characters as diagrammed in Figure 5.3.
S A M P L E
0
1
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Figure 5.3: A higher-level abstraction for the string portrayed in Figure 5.2.
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5.2. Low-Level Arrays
187
5.2.1 Referential Arrays
As another motivating example, assume that we want a medical information system
to keep track of the patients currently assigned to beds in a certain hospital. If we
assume that the hospital has 200 beds, and conveniently that those beds are numbered from 0 to 199, we might consider using an array-based structure to maintain
the names of the patients currently assigned to those beds. For example, in Python
we might use a list of names, such as:
[ Rene , Joseph , Janet , Jonas , Helen , Virginia , ... ]
To represent such a list with an array, Python must adhere to the requirement that
each cell of the array use the same number of bytes. Yet the elements are strings,
and strings naturally have different lengths. Python could attempt to reserve enough
space for each cell to hold the maximum length string (not just of currently stored
strings, but of any string we might ever want to store), but that would be wasteful.
Instead, Python represents a list or tuple instance using an internal storage
mechanism of an array of object references. At the lowest level, what is stored
is a consecutive sequence of memory addresses at which the elements of the sequence reside. A high-level diagram of such a list is shown in Figure 5.4.
Janet
Jonas
Joseph
Helen
Rene
Virginia
0
1
2
3
4
5
Figure 5.4: An array storing references to strings.
Although the relative size of the individual elements may vary, the number of
bits used to store the memory address of each element is fixed (e.g., 64-bits per
address). In this way, Python can support constant-time access to a list or tuple
element based on its index.
In Figure 5.4, we characterize a list of strings that are the names of the patients
in a hospital. It is more likely that a medical information system would manage
more comprehensive information on each patient, perhaps represented as an instance of a Patient class. From the perspective of the list implementation, the same
principle applies: The list will simply keep a sequence of references to those objects. Note as well that a reference to the None object can be used as an element
of the list to represent an empty bed in the hospital.
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The fact that lists and tuples are referential structures is significant to the semantics of these classes. A single list instance may include multiple references
to the same object as elements of the list, and it is possible for a single object to
be an element of two or more lists, as those lists simply store references back to
that object. As an example, when you compute a slice of a list, the result is a new
list instance, but that new list has references to the same elements that are in the
original list, as portrayed in Figure 5.5.
0
1
2
temp:
2
3
5
7
11
13
4
5
17
19
primes:
0
1
3
2
6
7
Figure 5.5: The result of the command temp = primes[3:6].
When the elements of the list are immutable objects, as with the integer instances in Figure 5.5, the fact that the two lists share elements is not that significant, as neither of the lists can cause a change to the shared object. If, for example,
the command temp[2] = 15 were executed from this configuration, that does not
change the existing integer object; it changes the reference in cell 2 of the temp list
to reference a different object. The resulting configuration is shown in Figure 5.6.
0
1
2
15
temp:
2
3
5
7
11
13
4
5
17
19
primes:
0
1
2
3
6
7
Figure 5.6: The result of the command temp[2] = 15 upon the configuration portrayed in Figure 5.5.
The same semantics is demonstrated when making a new list as a copy of an
existing one, with a syntax such as backup = list(primes). This produces a new
list that is a shallow copy (see Section 2.6), in that it references the same elements
as in the first list. With immutable elements, this point is moot. If the contents of
the list were of a mutable type, a deep copy, meaning a new list with new elements,
can be produced by using the deepcopy function from the copy module.
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As a more striking example, it is a common practice in Python to initialize an
array of integers using a syntax such as counters = [0] 8. This syntax produces
a list of length eight, with all eight elements being the value zero. Technically, all
eight cells of the list reference the same object, as portrayed in Figure 5.7.
0
counters:
0
1
2
3
4
5
6
7
Figure 5.7: The result of the command data = [0]
8.
At first glance, the extreme level of aliasing in this configuration may seem
alarming. However, we rely on the fact that the referenced integer is immutable.
Even a command such as counters[2] += 1 does not technically change the value
of the existing integer instance. This computes a new integer, with value 0 + 1, and
sets cell 2 to reference the newly computed value. The resulting configuration is
shown in Figure 5.8.
1
0
counters:
0
1
2
3
4
5
6
7
Figure 5.8: The result of command data[2] += 1 upon the list from Figure 5.7.
As a final manifestation of the referential nature of lists, we note that the extend
command is used to add all elements from one list to the end of another list. The
extended list does not receive copies of those elements, it receives references to
those elements. Figure 5.9 portrays the effect of a call to extend.
0
1
2
extras:
2
3
5
7
11
13
4
5
17
19
23
29
31
primes:
0
1
2
3
6
7
8
9
10
Figure 5.9: The effect of command primes.extend(extras), shown in light gray.
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5.2.2 Compact Arrays in Python
In the introduction to this section, we emphasized that strings are represented using
an array of characters (not an array of references). We will refer to this more direct
representation as a compact array because the array is storing the bits that represent
the primary data (characters, in the case of strings).
S A M P L E
0
1
2
3
4
5
Compact arrays have several advantages over referential structures in terms
of computing performance. Most significantly, the overall memory usage will be
much lower for a compact structure because there is no overhead devoted to the
explicit storage of the sequence of memory references (in addition to the primary
data). That is, a referential structure will typically use 64-bits for the memory
address stored in the array, on top of whatever number of bits are used to represent
the object that is considered the element. Also, each Unicode character stored in
a compact array within a string typically requires 2 bytes. If each character were
stored independently as a one-character string, there would be significantly more
bytes used.
As another case study, suppose we wish to store a sequence of one million,
64-bit integers. In theory, we might hope to use only 64 million bits. However, we
estimate that a Python list will use four to five times as much memory. Each element
of the list will result in a 64-bit memory address being stored in the primary array,
and an int instance being stored elsewhere in memory. Python allows you to query
the actual number of bytes being used for the primary storage of any object. This
is done using the getsizeof function of the sys module. On our system, the size of
a typical int object requires 14 bytes of memory (well beyond the 4 bytes needed
for representing the actual 64-bit number). In all, the list will be using 18 bytes per
entry, rather than the 4 bytes that a compact list of integers would require.
Another important advantage to a compact structure for high-performance computing is that the primary data are stored consecutively in memory. Note well that
this is not the case for a referential structure. That is, even though a list maintains
careful ordering of the sequence of memory addresses, where those elements reside
in memory is not determined by the list. Because of the workings of the cache and
memory hierarchies of computers, it is often advantageous to have data stored in
memory near other data that might be used in the same computations.
Despite the apparent inefficiencies of referential structures, we will generally
be content with the convenience of Python’s lists and tuples in this book. The only
place in which we consider alternatives will be in Chapter 15, which focuses on
the impact of memory usage on data structures and algorithms. Python provides
several means for creating compact arrays of various types.
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191
Primary support for compact arrays is in a module named array. That module
defines a class, also named array, providing compact storage for arrays of primitive
data types. A portrayal of such an array of integers is shown in Figure 5.10.
2
3
5
7
11
13
17
19
0
1
2
3
4
5
6
7
Figure 5.10: Integers stored compactly as elements of a Python array.
The public interface for the array class conforms mostly to that of a Python list.
However, the constructor for the array class requires a type code as a first parameter,
which is a character that designates the type of data that will be stored in the array.
As a tangible example, the type code, i , designates an array of (signed) integers,
typically represented using at least 16-bits each. We can declare the array shown in
Figure 5.10 as,
primes = array( i , [2, 3, 5, 7, 11, 13, 17, 19])
The type code allows the interpreter to determine precisely how many bits are
needed per element of the array. The type codes supported by the array module,
as shown in Table 5.1, are formally based upon the native data types used by the
C programming language (the language in which the the most widely used distribution of Python is implemented). The precise number of bits for the C data types
is system-dependent, but typical ranges are shown in the table.
Code
b
B
u
h
H
i
I
l
L
f
d
C Data Type
signed char
unsigned char
Unicode char
signed short int
unsigned short int
signed int
unsigned int
signed long int
unsigned long int
float
float
Typical Number of Bytes
1
1
2 or 4
2
2
2 or 4
2 or 4
4
4
4
8
Table 5.1: Type codes supported by the array module.
The array module does not provide support for making compact arrays of userdefined data types. Compact arrays of such structures can be created with the lowerlevel support of a module named ctypes. (See Section 5.3.1 for more discussion of
the ctypes module.)
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Dynamic Arrays and Amortization
60
59
21
58
21
57
21
56
21
55
21
54
21
53
21
52
21
51
21
50
21
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21
48
21
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21
46
21
45
21
21
44
When creating a low-level array in a computer system, the precise size of that array
must be explicitly declared in order for the system to properly allocate a consecutive
piece of memory for its storage. For example, Figure 5.11 displays an array of 12
bytes that might be stored in memory locations 2146 through 2157.
21
5.3
Figure 5.11: An array of 12 bytes allocated in memory locations 2146 through 2157.
Because the system might dedicate neighboring memory locations to store other
data, the capacity of an array cannot trivially be increased by expanding into subsequent cells. In the context of representing a Python tuple or str instance, this
constraint is no problem. Instances of those classes are immutable, so the correct
size for an underlying array can be fixed when the object is instantiated.
Python’s list class presents a more interesting abstraction. Although a list has a
particular length when constructed, the class allows us to add elements to the list,
with no apparent limit on the overall capacity of the list. To provide this abstraction,
Python relies on an algorithmic sleight of hand known as a dynamic array.
The first key to providing the semantics of a dynamic array is that a list instance
maintains an underlying array that often has greater capacity than the current length
of the list. For example, while a user may have created a list with five elements,
the system may have reserved an underlying array capable of storing eight object
references (rather than only five). This extra capacity makes it easy to append a
new element to the list by using the next available cell of the array.
If a user continues to append elements to a list, any reserved capacity will
eventually be exhausted. In that case, the class requests a new, larger array from the
system, and initializes the new array so that its prefix matches that of the existing
smaller array. At that point in time, the old array is no longer needed, so it is
reclaimed by the system. Intuitively, this strategy is much like that of the hermit
crab, which moves into a larger shell when it outgrows its previous one.
We give empirical evidence that Python’s list class is based upon such a strategy. The source code for our experiment is displayed in Code Fragment 5.1, and a
sample output of that program is given in Code Fragment 5.2. We rely on a function named getsizeof that is available from the sys module. This function reports
the number of bytes that are being used to store an object in Python. For a list, it
reports the number of bytes devoted to the array and other instance variables of the
list, but not any space devoted to elements referenced by the list.
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5.3. Dynamic Arrays and Amortization
193
1 import sys
# provides getsizeof function
2 data = [ ]
3 for k in range(n):
# NOTE: must fix choice of n
4
a = len(data)
# number of elements
5
b = sys.getsizeof(data)
# actual size in bytes
6
print( Length: {0:3d}; Size in bytes: {1:4d} .format(a, b))
7
data.append(None)
# increase length by one
Code Fragment 5.1: An experiment to explore the relationship between a list’s
length and its underlying size in Python.
Length:
Length:
Length:
Length:
Length:
Length:
Length:
Length:
Length:
Length:
Length:
Length:
Length:
Length:
Length:
Length:
Length:
Length:
Length:
Length:
Length:
Length:
Length:
Length:
Length:
Length:
Length:
0;
1;
2;
3;
4;
5;
6;
7;
8;
9;
10;
11;
12;
13;
14;
15;
16;
17;
18;
19;
20;
21;
22;
23;
24;
25;
26;
Size
Size
Size
Size
Size
Size
Size
Size
Size
Size
Size
Size
Size
Size
Size
Size
Size
Size
Size
Size
Size
Size
Size
Size
Size
Size
Size
in
in
in
in
in
in
in
in
in
in
in
in
in
in
in
in
in
in
in
in
in
in
in
in
in
in
in
bytes :
bytes :
bytes :
bytes :
bytes :
bytes :
bytes :
bytes :
bytes :
bytes :
bytes :
bytes :
bytes :
bytes :
bytes :
bytes :
bytes :
bytes :
bytes :
bytes :
bytes :
bytes :
bytes :
bytes :
bytes :
bytes :
bytes :
72
104
104
104
104
136
136
136
136
200
200
200
200
200
200
200
200
272
272
272
272
272
272
272
272
272
352
Code Fragment 5.2: Sample output from the experiment of Code Fragment 5.1.
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Chapter 5. Array-Based Sequences
194
In evaluating the results of the experiment, we draw attention to the first line of
output from Code Fragment 5.2. We see that an empty list instance already requires
a certain number of bytes of memory (72 on our system). In fact, each object in
Python maintains some state, for example, a reference to denote the class to which
it belongs. Although we cannot directly access private instance variables for a list,
we can speculate that in some form it maintains state information akin to:
n
capacity
A
The number of actual elements currently stored in the list.
The maximum number of elements that could be stored in the
currently allocated array.
The reference to the currently allocated array (initially None).
As soon as the first element is inserted into the list, we detect a change in the
underlying size of the structure. In particular, we see the number of bytes jump
from 72 to 104, an increase of exactly 32 bytes. Our experiment was run on a
64-bit machine architecture, meaning that each memory address is a 64-bit number
(i.e., 8 bytes). We speculate that the increase of 32 bytes reflects the allocation of
an underlying array capable of storing four object references. This hypothesis is
consistent with the fact that we do not see any underlying change in the memory
usage after inserting the second, third, or fourth element into the list.
After the fifth element has been added to the list, we see the memory usage jump
from 104 bytes to 136 bytes. If we assume the original base usage of 72 bytes for
the list, the total of 136 suggests an additional 64 = 8×8 bytes that provide capacity
for up to eight object references. Again, this is consistent with the experiment, as
the memory usage does not increase again until the ninth insertion. At that point,
the 200 bytes can be viewed as the original 72 plus an additional 128-byte array to
store 16 object references. The 17th insertion pushes the overall memory usage to
272 = 72 + 200 = 72 + 25 × 8, hence enough to store up to 25 element references.
Because a list is a referential structure, the result of getsizeof for a list instance
only includes the size for representing its primary structure; it does not account for
memory used by the objects that are elements of the list. In our experiment, we
repeatedly append None to the list, because we do not care about the contents, but
we could append any type of object without affecting the number of bytes reported
by getsizeof(data).
If we were to continue such an experiment for further iterations, we might try
to discern the pattern for how large of an array Python creates each time the capacity of the previous array is exhausted (see Exercises R-5.2 and C-5.13). Before
exploring the precise sequence of capacities used by Python, we continue in this
section by describing a general approach for implementing dynamic arrays and for
performing an asymptotic analysis of their performance.
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5.3. Dynamic Arrays and Amortization
195
5.3.1 Implementing a Dynamic Array
Although the Python list class provides a highly optimized implementation of dynamic arrays, upon which we rely for the remainder of this book, it is instructive to
see how such a class might be implemented.
The key is to provide means to grow the array A that stores the elements of a
list. Of course, we cannot actually grow that array, as its capacity is fixed. If an
element is appended to a list at a time when the underlying array is full, we perform
the following steps:
1.
2.
3.
4.
Allocate a new array B with larger capacity.
Set B[i] = A[i], for i = 0, . . . , n − 1, where n denotes current number of items.
Set A = B, that is, we henceforth use B as the array supporting the list.
Insert the new element in the new array.
An illustration of this process is shown in Figure 5.12.
A
A
B
B
(a)
A
(b)
(c)
Figure 5.12: An illustration of the three steps for “growing” a dynamic array: (a)
create new array B; (b) store elements of A in B; (c) reassign reference A to the new
array. Not shown is the future garbage collection of the old array, or the insertion
of the new element.
The remaining issue to consider is how large of a new array to create. A commonly used rule is for the new array to have twice the capacity of the existing array
that has been filled. In Section 5.3.2, we will provide a mathematical analysis to
justify such a choice.
In Code Fragment 5.3, we offer a concrete implementation of dynamic arrays
in Python. Our DynamicArray class is designed using ideas described in this section. While consistent with the interface of a Python list class, we provide only
limited functionality in the form of an append method, and accessors len and
getitem . Support for creating low-level arrays is provided by a module named
ctypes. Because we will not typically use such a low-level structure in the remainder of this book, we omit a detailed explanation of the ctypes module. Instead,
we wrap the necessary command for declaring the raw array within a private utility method make array. The hallmark expansion procedure is performed in our
nonpublic resize method.
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1 import ctypes
# provides low-level arrays
2
3 class DynamicArray:
4
”””A dynamic array class akin to a simplified Python list.”””
5
6
def init (self):
7
”””Create an empty array.”””
# count actual elements
8
self. n = 0
# default array capacity
9
self. capacity = 1
# low-level array
10
self. A = self. make array(self. capacity)
11
12
def len (self):
13
”””Return number of elements stored in the array.”””
14
return self. n
15
16
def getitem (self, k):
17
”””Return element at index k.”””
18
if not 0 <= k < self. n:
19
raise IndexError( invalid index )
# retrieve from array
20
return self. A[k]
21
22
def append(self, obj):
23
”””Add object to end of the array.”””
# not enough room
24
if self. n == self. capacity:
# so double capacity
25
self. resize(2 self. capacity)
26
self. A[self. n] = obj
27
self. n += 1
28
# nonpublic utitity
29
def resize(self, c):
30
”””Resize internal array to capacity c.”””
# new (bigger) array
31
B = self. make array(c)
# for each existing value
32
for k in range(self. n):
33
B[k] = self. A[k]
# use the bigger array
34
self. A = B
35
self. capacity = c
36
# nonpublic utitity
37
def make array(self, c):
38
”””Return new array with capacity c.”””
# see ctypes documentation
39
return (c ctypes.py object)( )
Code Fragment 5.3: An implementation of a DynamicArray class, using a raw array
from the ctypes module as storage.
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197
5.3.2 Amortized Analysis of Dynamic Arrays
primitive operations for an append
In this section, we perform a detailed analysis of the running time of operations on
dynamic arrays. We use the big-Omega notation introduced in Section 3.3.1 to give
an asymptotic lower bound on the running time of an algorithm or step within it.
The strategy of replacing an array with a new, larger array might at first seem
slow, because a single append operation may require Ω(n) time to perform, where
n is the current number of elements in the array. However, notice that by doubling
the capacity during an array replacement, our new array allows us to add n new
elements before the array must be replaced again. In this way, there are many
simple append operations for each expensive one (see Figure 5.13). This fact allows
us to show that performing a series of operations on an initially empty dynamic
array is efficient in terms of its total running time.
Using an algorithmic design pattern called amortization, we can show that performing a sequence of such append operations on a dynamic array is actually quite
efficient. To perform an amortized analysis, we use an accounting technique where
we view the computer as a coin-operated appliance that requires the payment of
one cyber-dollar for a constant amount of computing time. When an operation
is executed, we should have enough cyber-dollars available in our current “bank
account” to pay for that operation’s running time. Thus, the total amount of cyberdollars spent for any computation will be proportional to the total time spent on that
computation. The beauty of using this analysis method is that we can overcharge
some operations in order to save up cyber-dollars to pay for others.
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16
current number of elements
Figure 5.13: Running times of a series of append operations on a dynamic array.
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Chapter 5. Array-Based Sequences
198
Proposition 5.1: Let S be a sequence implemented by means of a dynamic array
with initial capacity one, using the strategy of doubling the array size when full.
The total time to perform a series of n append operations in S, starting from S being
empty, is O(n).
Justification: Let us assume that one cyber-dollar is enough to pay for the execution of each append operation in S, excluding the time spent for growing the array.
Also, let us assume that growing the array from size k to size 2k requires k cyberdollars for the time spent initializing the new array. We shall charge each append
operation three cyber-dollars. Thus, we overcharge each append operation that does
not cause an overflow by two cyber-dollars. Think of the two cyber-dollars profited
in an insertion that does not grow the array as being “stored” with the cell in which
the element was inserted. An overflow occurs when the array S has 2i elements, for
some integer i ≥ 0, and the size of the array used by the array representing S is 2i .
Thus, doubling the size of the array will require 2i cyber-dollars. Fortunately, these
cyber-dollars can be found stored in cells 2i−1 through 2i − 1. (See Figure 5.14.)
Note that the previous overflow occurred when the number of elements became
larger than 2i−1 for the first time, and thus the cyber-dollars stored in cells 2i−1
through 2i − 1 have not yet been spent. Therefore, we have a valid amortization
scheme in which each operation is charged three cyber-dollars and all the computing time is paid for. That is, we can pay for the execution of n append operations
using 3n cyber-dollars. In other words, the amortized running time of each append
operation is O(1); hence, the total running time of n append operations is O(n).
(a)
0
1
2
3
$
$
$
$
$
$
$
$
4
5
6
7
$
$
(b)
0
1
2
3
4
5
6
7
8
9
10 11 12 13 14 15
Figure 5.14: Illustration of a series of append operations on a dynamic array: (a) an
8-cell array is full, with two cyber-dollars “stored” at cells 4 through 7; (b) an
append operation causes an overflow and a doubling of capacity. Copying the eight
old elements to the new array is paid for by the cyber-dollars already stored in the
table. Inserting the new element is paid for by one of the cyber-dollars charged to
the current append operation, and the two cyber-dollars profited are stored at cell 8.
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5.3. Dynamic Arrays and Amortization
199
Geometric Increase in Capacity
Although the proof of Proposition 5.1 relies on the array being doubled each time
we expand, the O(1) amortized bound per operation can be proven for any geometrically increasing progression of array sizes (see Section 2.4.2 for discussion of
geometric progressions). When choosing the geometric base, there exists a tradeoff between run-time efficiency and memory usage. With a base of 2 (i.e., doubling
the array), if the last insertion causes a resize event, the array essentially ends up
twice as large as it needs to be. If we instead increase the array by only 25% of
its current size (i.e., a geometric base of 1.25), we do not risk wasting as much
memory in the end, but there will be more intermediate resize events along the
way. Still it is possible to prove an O(1) amortized bound, using a constant factor
greater than the 3 cyber-dollars per operation used in the proof of Proposition 5.1
(see Exercise C-5.15). The key to the performance is that the amount of additional
space is proportional to the current size of the array.
Beware of Arithmetic Progression
primitive operations for an append
primitive operations for an append
To avoid reserving too much space at once, it might be tempting to implement a
dynamic array with a strategy in which a constant number of additional cells are
reserved each time an array is resized. Unfortunately, the overall performance of
such a strategy is significantly worse. At an extreme, an increase of only one cell
causes each append operation to resize the array, leading to a familiar 1 + 2 + 3 +
· · · + n summation and Ω(n2 ) overall cost. Using increases of 2 or 3 at a time is
slightly better, as portrayed in Figure 5.13, but the overall cost remains quadratic.
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16
current number of elements
current number of elements
(a)
(b)
Figure 5.15: Running times of a series of append operations on a dynamic array
using arithmetic progression of sizes. (a) Assumes increase of 2 in size of the
array, while (b) assumes increase of 3.
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Chapter 5. Array-Based Sequences
Using a fixed increment for each resize, and thus an arithmetic progression of
intermediate array sizes, results in an overall time that is quadratic in the number
of operations, as shown in the following proposition. Intuitively, even an increase
in 1000 cells per resize will become insignificant for large data sets.
Proposition 5.2: Performing a series of n append operations on an initially empty
dynamic array using a fixed increment with each resize takes Ω(n2 ) time.
Justification: Let c > 0 represent the fixed increment in capacity that is used for
each resize event. During the series of n append operations, time will have been
spent initializing arrays of size c, 2c, 3c, . . . , mc for m = n/c, and therefore, the
overall time would be proportional to c + 2c + 3c + · · · + mc. By Proposition 3.3,
this sum is
n n
m
m
n2
m(m + 1)
c ( c + 1)
≥
c
≥
.
ci
=
c
·
i
=
c
∑
∑
2
2
2c
i=1
i=1
Therefore, performing the n append operations takes Ω(n2 ) time.
A lesson to be learned from Propositions 5.1 and 5.2 is that a subtle difference in
an algorithm design can produce drastic differences in the asymptotic performance,
and that a careful analysis can provide important insights into the design of a data
structure.
Memory Usage and Shrinking an Array
Another consequence of the rule of a geometric increase in capacity when appending to a dynamic array is that the final array size is guaranteed to be proportional to
the overall number of elements. That is, the data structure uses O(n) memory. This
is a very desirable property for a data structure.
If a container, such as a Python list, provides operations that cause the removal
of one or more elements, greater care must be taken to ensure that a dynamic array
guarantees O(n) memory usage. The risk is that repeated insertions may cause the
underlying array to grow arbitrarily large, and that there will no longer be a proportional relationship between the actual number of elements and the array capacity
after many elements are removed.
A robust implementation of such a data structure will shrink the underlying
array, on occasion, while maintaining the O(1) amortized bound on individual operations. However, care must be taken to ensure that the structure cannot rapidly
oscillate between growing and shrinking the underlying array, in which case the
amortized bound would not be achieved. In Exercise C-5.16, we explore a strategy
in which the array capacity is halved whenever the number of actual element falls
below one fourth of that capacity, thereby guaranteeing that the array capacity is at
most four times the number of elements; we explore the amortized analysis of such
a strategy in Exercises C-5.17 and C-5.18.
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201
5.3.3 Python’s List Class
The experiments of Code Fragment 5.1 and 5.2, at the beginning of Section 5.3,
provide empirical evidence that Python’s list class is using a form of dynamic arrays
for its storage. Yet, a careful examination of the intermediate array capacities (see
Exercises R-5.2 and C-5.13) suggests that Python is not using a pure geometric
progression, nor is it using an arithmetic progression.
With that said, it is clear that Python’s implementation of the append method
exhibits amortized constant-time behavior. We can demonstrate this fact experimentally. A single append operation typically executes so quickly that it would be
difficult for us to accurately measure the time elapsed at that granularity, although
we should notice some of the more expensive operations in which a resize is performed. We can get a more accurate measure of the amortized cost per operation
by performing a series of n append operations on an initially empty list and determining the average cost of each. A function to perform that experiment is given in
Code Fragment 5.4.
1 from time import time
# import time function from time module
2 def compute average(n):
3
”””Perform n appends to an empty list and return average time elapsed.”””
4
data = [ ]
5
start = time( )
# record the start time (in seconds)
6
for k in range(n):
7
data.append(None)
8
end = time( )
# record the end time (in seconds)
9
return (end − start) / n
# compute average per operation
Code Fragment 5.4: Measuring the amortized cost of append for Python’s list class.
Technically, the time elapsed between the start and end includes the time to
manage the iteration of the for loop, in addition to the append calls. The empirical
results of the experiment, for increasingly large values of n, are shown in Table 5.2.
We see higher average cost for the smaller data sets, perhaps in part due to the overhead of the loop range. There is also natural variance in measuring the amortized
cost in this way, because of the impact of the final resize event relative to n. Taken
as a whole, there seems clear evidence that the amortized time for each append is
independent of n.
n
μs
100
0.219
1,000
0.158
10,000
0.164
100,000
0.151
1,000,000
0.147
10,000,000
0.147
100,000,000
0.149
Table 5.2: Average running time of append, measured in microseconds, as observed
over a sequence of n calls, starting with an empty list.
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5.4
Efficiency of Python’s Sequence Types
In the previous section, we began to explore the underpinnings of Python’s list
class, in terms of implementation strategies and efficiency. We continue in this
section by examining the performance of all of Python’s sequence types.
5.4.1 Python’s List and Tuple Classes
The nonmutating behaviors of the list class are precisely those that are supported
by the tuple class. We note that tuples are typically more memory efficient than
lists because they are immutable; therefore, there is no need for an underlying
dynamic array with surplus capacity. We summarize the asymptotic efficiency of
the nonmutating behaviors of the list and tuple classes in Table 5.3. An explanation
of this analysis follows.
Operation
len(data)
data[j]
data.count(value)
data.index(value)
value in data
data1 == data2
(similarly !=, <, <=, >, >=)
data[j:k]
data1 + data2
c data
Running Time
O(1)
O(1)
O(n)
O(k + 1)
O(k + 1)
O(k + 1)
O(k − j + 1)
O(n1 + n2 )
O(cn)
Table 5.3: Asymptotic performance of the nonmutating behaviors of the list and
tuple classes. Identifiers data, data1, and data2 designate instances of the list or
tuple class, and n, n1 , and n2 their respective lengths. For the containment check
and index method, k represents the index of the leftmost occurrence (with k = n if
there is no occurrence). For comparisons between two sequences, we let k denote
the leftmost index at which they disagree or else k = min(n1 , n2 ).
Constant-Time Operations
The length of an instance is returned in constant time because an instance explicitly
maintains such state information. The constant-time efficiency of syntax data[j] is
assured by the underlying access into an array.
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5.4. Efficiency of Python’s Sequence Types
203
Searching for Occurrences of a Value
Each of the count, index, and contains methods proceed through iteration
of the sequence from left to right. In fact, Code Fragment 2.14 of Section 2.4.3
demonstrates how those behaviors might be implemented. Notably, the loop for
computing the count must proceed through the entire sequence, while the loops
for checking containment of an element or determining the index of an element
immediately exit once they find the leftmost occurrence of the desired value, if
one exists. So while count always examines the n elements of the sequence,
index and contains examine n elements in the worst case, but may be faster.
Empirical evidence can be found by setting data = list(range(10000000)) and
then comparing the relative efficiency of the test, 5 in data, relative to the test,
9999995 in data, or even the failed test, −5 in data.
Lexicographic Comparisons
Comparisons between two sequences are defined lexicographically. In the worst
case, evaluating such a condition requires an iteration taking time proportional
to the length of the shorter of the two sequences (because when one sequence
ends, the lexicographic result can be determined). However, in some cases the
result of the test can be evaluated more efficiently. For example, if evaluating
[7, 3, ...] < [7, 5, ...], it is clear that the result is True without examining the remainders of those lists, because the second element of the left operand is strictly
less than the second element of the right operand.
Creating New Instances
The final three behaviors in Table 5.3 are those that construct a new instance based
on one or more existing instances. In all cases, the running time depends on the
construction and initialization of the new result, and therefore the asymptotic behavior is proportional to the length of the result. Therefore, we find that slice
data[6000000:6000008] can be constructed almost immediately because it has only
eight elements, while slice data[6000000:7000000] has one million elements, and
thus is more time-consuming to create.
Mutating Behaviors
The efficiency of the mutating behaviors of the list class are described in Table 5.3.
The simplest of those behaviors has syntax data[j] = val, and is supported by the
special setitem method. This operation has worst-case O(1) running time because it simply replaces one element of a list with a new value. No other elements
are affected and the size of the underlying array does not change. The more interesting behaviors to analyze are those that add or remove elements from the list.
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Chapter 5. Array-Based Sequences
204
Operation
data[j] = val
data.append(value)
data.insert(k, value)
data.pop( )
data.pop(k)
del data[k]
data.remove(value)
data1.extend(data2)
data1 += data2
data.reverse( )
data.sort( )
Running Time
O(1)
O(1)∗
O(n − k + 1)∗
O(1)∗
O(n − k)∗
O(n)∗
O(n2 )∗
O(n)
O(n log n)
∗ amortized
Table 5.4: Asymptotic performance of the mutating behaviors of the list class. Identifiers data, data1, and data2 designate instances of the list class, and n, n1 , and n2
their respective lengths.
Adding Elements to a List
In Section 5.3 we fully explored the append method. In the worst case, it requires
Ω(n) time because the underlying array is resized, but it uses O(1) time in the amortized sense. Lists also support a method, with signature insert(k, value), that inserts
a given value into the list at index 0 ≤ k ≤ n while shifting all subsequent elements
back one slot to make room. For the purpose of illustration, Code Fragment 5.5 provides an implementation of that method, in the context of our DynamicArray class
introduced in Code Fragment 5.3. There are two complicating factors in analyzing
the efficiency of such an operation. First, we note that the addition of one element
may require a resizing of the dynamic array. That portion of the work requires Ω(n)
worst-case time but only O(1) amortized time, as per append. The other expense
for insert is the shifting of elements to make room for the new item. The time for
1
2
3
4
5
6
7
8
9
def insert(self, k, value):
”””Insert value at index k, shifting subsequent values rightward.”””
# (for simplicity, we assume 0 <= k <= n in this verion)
# not enough room
if self. n == self. capacity:
# so double capacity
self. resize(2 self. capacity)
# shift rightmost first
for j in range(self. n, k, −1):
self. A[j] = self. A[j−1]
# store newest element
self. A[k] = value
self. n += 1
Code Fragment 5.5: Implementation of insert for our DynamicArray class.
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5.4. Efficiency of Python’s Sequence Types
0
1
2
205
n−1
k
Figure 5.16: Creating room to insert a new element at index k of a dynamic array.
that process depends upon the index of the new element, and thus the number of
other elements that must be shifted. That loop copies the reference that had been
at index n − 1 to index n, then the reference that had been at index n − 2 to n − 1,
continuing until copying the reference that had been at index k to k + 1, as illustrated in Figure 5.16. Overall this leads to an amortized O(n − k + 1) performance
for inserting at index k.
When exploring the efficiency of Python’s append method in Section 5.3.3,
we performed an experiment that measured the average cost of repeated calls on
varying sizes of lists (see Code Fragment 5.4 and Table 5.2). We have repeated that
experiment with the insert method, trying three different access patterns:
• In the first case, we repeatedly insert at the beginning of a list,
for n in range(N):
data.insert(0, None)
• In a second case, we repeatedly insert near the middle of a list,
for n in range(N):
data.insert(n // 2, None)
• In a third case, we repeatedly insert at the end of the list,
for n in range(N):
data.insert(n, None)
The results of our experiment are given in Table 5.5, reporting the average time per
operation (not the total time for the entire loop). As expected, we see that inserting
at the beginning of a list is most expensive, requiring linear time per operation.
Inserting at the middle requires about half the time as inserting at the beginning,
yet is still Ω(n) time. Inserting at the end displays O(1) behavior, akin to append.
k=0
k = n // 2
k=n
100
0.482
0.451
0.420
1,000
0.765
0.577
0.422
N
10,000 100,000
4.014
36.643
2.191
17.873
0.395
0.389
1,000,000
351.590
175.383
0.397
Table 5.5: Average running time of insert(k, val), measured in microseconds, as
observed over a sequence of N calls, starting with an empty list. We let n denote
the size of the current list (as opposed to the final list).
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Chapter 5. Array-Based Sequences
206
Removing Elements from a List
Python’s list class offers several ways to remove an element from a list. A call to
pop( ) removes the last element from a list. This is most efficient, because all other
elements remain in their original location. This is effectively an O(1) operation,
but the bound is amortized because Python will occasionally shrink the underlying
dynamic array to conserve memory.
The parameterized version, pop(k), removes the element that is at index k < n
of a list, shifting all subsequent elements leftward to fill the gap that results from
the removal. The efficiency of this operation is O(n − k), as the amount of shifting
depends upon the choice of index k, as illustrated in Figure 5.17. Note well that this
implies that pop(0) is the most expensive call, using Ω(n) time. (see experiments
in Exercise R-5.8.)
0
1
2
k
n−1
Figure 5.17: Removing an element at index k of a dynamic array.
The list class offers another method, named remove, that allows the caller to
specify the value that should be removed (not the index at which it resides). Formally, it removes only the first occurrence of such a value from a list, or raises a
ValueError if no such value is found. An implementation of such behavior is given
in Code Fragment 5.6, again using our DynamicArray class for illustration.
Interestingly, there is no “efficient” case for remove; every call requires Ω(n)
time. One part of the process searches from the beginning until finding the value at
index k, while the rest iterates from k to the end in order to shift elements leftward.
This linear behavior can be observed experimentally (see Exercise C-5.24).
1
2
3
4
5
6
7
8
9
10
11
def remove(self, value):
”””Remove first occurrence of value (or raise ValueError).”””
# note: we do not consider shrinking the dynamic array in this version
for k in range(self. n):
# found a match!
if self. A[k] == value:
# shift others to fill gap
for j in range(k, self. n − 1):
self. A[j] = self. A[j+1]
self. A[self. n − 1] = None
# help garbage collection
# we have one less item
self. n −= 1
return
# exit immediately
# only reached if no match
raise ValueError( value not found )
Code Fragment 5.6: Implementation of remove for our DynamicArray class.
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207
Extending a List
Python provides a method named extend that is used to add all elements of one list
to the end of a second list. In effect, a call to data.extend(other) produces the same
outcome as the code,
for element in other:
data.append(element)
In either case, the running time is proportional to the length of the other list, and
amortized because the underlying array for the first list may be resized to accommodate the additional elements.
In practice, the extend method is preferable to repeated calls to append because
the constant factors hidden in the asymptotic analysis are significantly smaller. The
greater efficiency of extend is threefold. First, there is always some advantage to
using an appropriate Python method, because those methods are often implemented
natively in a compiled language (rather than as interpreted Python code). Second,
there is less overhead to a single function call that accomplishes all the work, versus
many individual function calls. Finally, increased efficiency of extend comes from
the fact that the resulting size of the updated list can be calculated in advance. If the
second data set is quite large, there is some risk that the underlying dynamic array
might be resized multiple times when using repeated calls to append. With a single
call to extend, at most one resize operation will be performed. Exercise C-5.22
explores the relative efficiency of these two approaches experimentally.
Constructing New Lists
There are several syntaxes for constructing new lists. In almost all cases, the asymptotic efficiency of the behavior is linear in the length of the list that is created. However, as with the case in the preceding discussion of extend, there are significant
differences in the practical efficiency.
Section 1.9.2 introduces the topic of list comprehension, using an example
such as squares = [ k k for k in range(1, n+1) ] as a shorthand for
squares = [ ]
for k in range(1, n+1):
squares.append(k k)
Experiments should show that the list comprehension syntax is significantly faster
than building the list by repeatedly appending (see Exercise C-5.23).
Similarly, it is a common Python idiom to initialize a list of constant values
using the multiplication operator, as in [0] n to produce a list of length n with
all values equal to zero. Not only is this succinct for the programmer; it is more
efficient than building such a list incrementally.
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5.4.2 Python’s String Class
Strings are very important in Python. We introduced their use in Chapter 1, with
a discussion of various operator syntaxes in Section 1.3. A comprehensive summary of the named methods of the class is given in Tables A.1 through A.4 of
Appendix A. We will not formally analyze the efficiency of each of those behaviors in this section, but we do wish to comment on some notable issues. In general,
we let n denote the length of a string. For operations that rely on a second string as
a pattern, we let m denote the length of that pattern string.
The analysis for many behaviors is quite intuitive. For example, methods that
produce a new string (e.g., capitalize, center, strip) require time that is linear in
the length of the string that is produced. Many of the behaviors that test Boolean
conditions of a string (e.g., islower) take O(n) time, examining all n characters in the
worst case, but short circuiting as soon as the answer becomes evident (e.g., islower
can immediately return False if the first character is uppercased). The comparison
operators (e.g., ==, <) fall into this category as well.
Pattern Matching
Some of the most interesting behaviors, from an algorithmic point of view, are those
that in some way depend upon finding a string pattern within a larger string; this
goal is at the heart of methods such as contains , find, index, count, replace,
and split. String algorithms will be the topic of Chapter 13, and this particular
problem known as pattern matching will be the focus of Section 13.2. A naive implementation runs in O(mn) time case, because we consider the n − m + 1 possible
starting indices for the pattern, and we spend O(m) time at each starting position,
checking if the pattern matches. However, in Section 13.2, we will develop an algorithm for finding a pattern of length m within a longer string of length n in O(n)
time.
Composing Strings
Finally, we wish to comment on several approaches for composing large strings. As
an academic exercise, assume that we have a large string named document, and our
goal is to produce a new string, letters, that contains only the alphabetic characters
of the original string (e.g., with spaces, numbers, and punctuation removed). It may
be tempting to compose a result through repeated concatenation, as follows.
# WARNING: do not do this
letters =
for c in document:
if c.isalpha( ):
letters += c
# start with empty string
# concatenate alphabetic character
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5.4. Efficiency of Python’s Sequence Types
209
While the preceding code fragment accomplishes the goal, it may be terribly
inefficient. Because strings are immutable, the command, letters += c, would
presumably compute the concatenation, letters + c, as a new string instance and
then reassign the identifier, letters, to that result. Constructing that new string
would require time proportional to its length. If the final result has n characters, the
series of concatenations would take time proportional to the familiar sum 1 + 2 +
3 + · · · + n, and therefore O(n2 ) time.
Inefficient code of this type is widespread in Python, perhaps because of the
somewhat natural appearance of the code, and mistaken presumptions about how
the += operator is evaluated with strings. Some later implementations of the
Python interpreter have developed an optimization to allow such code to complete
in linear time, but this is not guaranteed for all Python implementations. The optimization is as follows. The reason that a command, letters += c, causes a new
string instance to be created is that the original string must be left unchanged if
another variable in a program refers to that string. On the other hand, if Python
knew that there were no other references to the string in question, it could implement += more efficiently by directly mutating the string (as a dynamic array). As
it happens, the Python interpreter already maintains what are known as reference
counts for each object; this count is used in part to determine if an object can be
garbage collected. (See Section 15.1.2.) But in this context, it provides a means to
detect when no other references exist to a string, thereby allowing the optimization.
A more standard Python idiom to guarantee linear time composition of a string
is to use a temporary list to store individual pieces, and then to rely on the join
method of the str class to compose the final result. Using this technique with our
previous example would appear as follows:
temp = [ ]
for c in document:
if c.isalpha( ):
temp.append(c)
letters = .join(temp)
# start with empty list
# append alphabetic character
# compose overall result
This approach is guaranteed to run in O(n) time. First, we note that the series of
up to n append calls will require a total of O(n) time, as per the definition of the
amortized cost of that operation. The final call to join also guarantees that it takes
time that is linear in the final length of the composed string.
As we discussed at the end of the previous section, we can further improve
the practical execution time by using a list comprehension syntax to build up the
temporary list, rather than by repeated calls to append. That solution appears as,
letters =
.join([c for c in document if c.isalpha( )])
Better yet, we can entirely avoid the temporary list with a generator comprehension:
letters =
.join(c for c in document if c.isalpha( ))
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210
5.5
Using Array-Based Sequences
5.5.1 Storing High Scores for a Game
The first application we study is storing a sequence of high score entries for a video
game. This is representative of many applications in which a sequence of objects
must be stored. We could just as easily have chosen to store records for patients in
a hospital or the names of players on a football team. Nevertheless, let us focus on
storing high score entries, which is a simple application that is already rich enough
to present some important data-structuring concepts.
To begin, we consider what information to include in an object representing a
high score entry. Obviously, one component to include is an integer representing
the score itself, which we identify as score. Another useful thing to include is
the name of the person earning this score, which we identify as name. We could
go on from here, adding fields representing the date the score was earned or game
statistics that led to that score. However, we omit such details to keep our example
simple. A Python class, GameEntry, representing a game entry, is given in Code
Fragment 5.7.
1 class GameEntry:
2
”””Represents one entry of a list of high scores.”””
3
4
def init (self, name, score):
5
self. name = name
6
self. score = score
7
8
def get name(self):
9
return self. name
10
11
def get score(self):
12
return self. score
13
14
def str (self):
15
return ({0}, {1}) .format(self. name, self. score) # e.g., (Bob, 98)
Code Fragment 5.7: Python code for a simple GameEntry class. We include meth-
ods for returning the name and score for a game entry object, as well as a method
for returning a string representation of this entry.
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5.5. Using Array-Based Sequences
211
A Class for High Scores
To maintain a sequence of high scores, we develop a class named Scoreboard. A
scoreboard is limited to a certain number of high scores that can be saved; once that
limit is reached, a new score only qualifies for the scoreboard if it is strictly higher
than the lowest “high score” on the board. The length of the desired scoreboard may
depend on the game, perhaps 10, 50, or 500. Since that limit may vary depending on
the game, we allow it to be specified as a parameter to our Scoreboard constructor.
Internally, we will use a Python list named board in order to manage the
GameEntry instances that represent the high scores. Since we expect the scoreboard to eventually reach full capacity, we initialize the list to be large enough to
hold the maximum number of scores, but we initially set all entries to None. By
allocating the list with maximum capacity initially, it never needs to be resized. As
entries are added, we will maintain them from highest to lowest score, starting at
index 0 of the list. We illustrate a typical state of the data structure in Figure 5.18.
Rob
Paul
Mike 1105
0
Anna 660
750
1
510
Rose 590
720
2
Jack
3
4
5
6
7
8
9
Figure 5.18: An illustration of an ordered list of length ten, storing references to six
GameEntry objects in the cells from index 0 to 5, with the rest being None.
A complete Python implementation of the Scoreboard class is given in Code
Fragment 5.8. The constructor is rather simple. The command
self. board = [None]
capacity
creates a list with the desired length, yet all entries equal to None. We maintain
an additional instance variable, n, that represents the number of actual entries
currently in our table. For convenience, our class supports the getitem method
to retrieve an entry at a given index with a syntax board[i] (or None if no such entry
exists), and we support a simple str method that returns a string representation
of the entire scoreboard, with one entry per line.
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212
Chapter 5. Array-Based Sequences
1 class Scoreboard:
2
”””Fixed-length sequence of high scores in nondecreasing order.”””
3
4
def init (self, capacity=10):
5
”””Initialize scoreboard with given maximum capacity.
6
7
All entries are initially None.
8
”””
# reserve space for future scores
9
self. board = [None] capacity
# number of actual entries
10
self. n = 0
11
12
def getitem (self, k):
13
”””Return entry at index k.”””
14
return self. board[k]
15
16
def str (self):
17
”””Return string representation of the high score list.”””
18
return \n .join(str(self. board[j]) for j in range(self. n))
19
20
def add(self, entry):
21
”””Consider adding entry to high scores.”””
22
score = entry.get score( )
23
24
# Does new entry qualify as a high score?
25
# answer is yes if board not full or score is higher than last entry
26
good = self. n < len(self. board) or score > self. board[−1].get score( )
27
28
if good:
# no score drops from list
29
if self. n < len(self. board):
# so overall number increases
30
self. n += 1
31
32
# shift lower scores rightward to make room for new entry
33
j = self. n − 1
34
while j > 0 and self. board[j−1].get score( ) < score:
# shift entry from j-1 to j
35
self. board[j] = self. board[j−1]
36
j −= 1
# and decrement j
# when done, add new entry
37
self. board[j] = entry
Code Fragment 5.8: Python code for a Scoreboard class that maintains an ordered
series of scores as GameEntry objects.
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5.5. Using Array-Based Sequences
213
Adding an Entry
The most interesting method of the Scoreboard class is add, which is responsible
for considering the addition of a new entry to the scoreboard. Keep in mind that
every entry will not necessarily qualify as a high score. If the board is not yet full,
any new entry will be retained. Once the board is full, a new entry is only retained
if it is strictly better than one of the other scores, in particular, the last entry of the
scoreboard, which is the lowest of the high scores.
When a new score is considered, we begin by determining whether it qualifies
as a high score. If so, we increase the count of active scores, n, unless the board
is already at full capacity. In that case, adding a new high score causes some other
entry to be dropped from the scoreboard, so the overall number of entries remains
the same.
To correctly place a new entry within the list, the final task is to shift any inferior scores one spot lower (with the least score being dropped entirely when the
scoreboard is full). This process is quite similar to the implementation of the insert
method of the list class, as described on pages 204–205. In the context of our scoreboard, there is no need to shift any None references that remain near the end of the
array, so the process can proceed as diagrammed in Figure 5.19.
Jill
Rob
Anna 660
750
Mike 1105
0
740
Paul
1
2
510
Rose 590
720
3
Jack
4
5
6
7
8
9
Figure 5.19: Adding a new GameEntry for Jill to the scoreboard. In order to make
room for the new reference, we have to shift the references for game entries with
smaller scores than the new one to the right by one cell. Then we can insert the new
entry with index 2.
To implement the final stage, we begin by considering index j = self. n − 1,
which is the index at which the last GameEntry instance will reside, after completing the operation. Either j is the correct index for the newest entry, or one or more
immediately before it will have lesser scores. The while loop at line 34 checks the
compound condition, shifting references rightward and decrementing j, as long as
there is another entry at index j − 1 with a score less than the new score.
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Chapter 5. Array-Based Sequences
214
5.5.2 Sorting a Sequence
In the previous subsection, we considered an application for which we added an object to a sequence at a given position while shifting other elements so as to keep the
previous order intact. In this section, we use a similar technique to solve the sorting
problem, that is, starting with an unordered sequence of elements and rearranging
them into nondecreasing order.
The Insertion-Sort Algorithm
We study several sorting algorithms in this book, most of which are described in
Chapter 12. As a warm-up, in this section we describe a nice, simple sorting algorithm known as insertion-sort. The algorithm proceeds as follows for an arraybased sequence. We start with the first element in the array. One element by itself
is already sorted. Then we consider the next element in the array. If it is smaller
than the first, we swap them. Next we consider the third element in the array. We
swap it leftward until it is in its proper order with the first two elements. We then
consider the fourth element, and swap it leftward until it is in the proper order with
the first three. We continue in this manner with the fifth element, the sixth, and so
on, until the whole array is sorted. We can express the insertion-sort algorithm in
pseudo-code, as shown in Code Fragment 5.9.
Algorithm InsertionSort(A):
Input: An array A of n comparable elements
Output: The array A with elements rearranged in nondecreasing order
for k from 1 to n − 1 do
Insert A[k] at its proper location within A[0], A[1], . . ., A[k].
Code Fragment 5.9: High-level description of the insertion-sort algorithm.
This is a simple, high-level description of insertion-sort. If we look back to
Code Fragment 5.8 of Section 5.5.1, we see that the task of inserting a new entry into the list of high scores is almost identical to the task of inserting a newly
considered element in insertion-sort (except that game scores were ordered from
high to low). We provide a Python implementation of insertion-sort in Code Fragment 5.10, using an outer loop to consider each element in turn, and an inner
loop that moves a newly considered element to its proper location relative to the
(sorted) subarray of elements that are to its left. We illustrate an example run of the
insertion-sort algorithm in Figure 5.20.
The nested loops of insertion-sort lead to an O(n2 ) running time in the worst
case. The most work is done if the array is initially in reverse order. On the other
hand, if the initial array is nearly sorted or perfectly sorted, insertion-sort runs in
O(n) time because there are few or no iterations of the inner loop.
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5.5. Using Array-Based Sequences
215
1 def insertion sort(A):
2
”””Sort list of comparable elements
3
for k in range(1, len(A)):
4
cur = A[k]
5
j=k
6
while j > 0 and A[j−1] > cur:
7
A[j] = A[j−1]
8
j −= 1
9
A[j] = cur
into nondecreasing order.”””
# from 1 to n-1
# current element to be inserted
# find correct index j for current
# element A[j-1] must be after current
# cur is now in the right place
Code Fragment 5.10: Python code for performing insertion-sort on a list.
cur
C
no move
B C D A E H G F
0
D
5
6
7
2
1
2
3
4 5
move
6
7
D E H G F
B
3
0
4
A
move
5 6
no move
7
1
2
3
4
5
1
2
3
4
5
A B C D E
0
C D E H G F
1
2
3
4
5
6
7
move
B C D E H G F
0
1
2
3
4
5
6
7
6 7
no move
1
2
3
4
5
6
G
7
move
insert
no move
H F
A B C D E
6
0
7
1
2
3
4
H F
5
6
move
F
insert
A B C D E H G F
0
G
3 4
no move
A B C D E H G F
0
H
1
B C
0
E
2
B C D A E H G F
0
A
1
A B C D E G
0
1
2
3
4
5
6
H
A B C D E
7
0
A B C D E F G H
0
1
2
3
4
5
6
7
F
1
2
3
4
5
insert
no move
move
G H
A B C D E
6
0
7
1
2
3
4
G H
5
6
7
Done!
7
Figure 5.20: Execution of the insertion-sort algorithm on an array of eight characters. Each row corresponds to an iteration of the outer loop, and each copy of the
sequence in a row corresponds to an iteration of the inner loop. The current element
that is being inserted is highlighted in the array, and shown as the cur value.
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Chapter 5. Array-Based Sequences
216
5.5.3 Simple Cryptography
An interesting application of strings and lists is cryptography, the science of secret
messages and their applications. This field studies ways of performing encryption, which takes a message, called the plaintext, and converts it into a scrambled
message, called the ciphertext. Likewise, cryptography also studies corresponding
ways of performing decryption, which takes a ciphertext and turns it back into its
original plaintext.
Arguably the earliest encryption scheme is the Caesar cipher, which is named
after Julius Caesar, who used this scheme to protect important military messages.
(All of Caesar’s messages were written in Latin, of course, which already makes
them unreadable for most of us!) The Caesar cipher is a simple way to obscure a
message written in a language that forms words with an alphabet.
The Caesar cipher involves replacing each letter in a message with the letter that
is a certain number of letters after it in the alphabet. So, in an English message, we
might replace each A with D, each B with E, each C with F, and so on, if shifting by
three characters. We continue this approach all the way up to W, which is replaced
with Z. Then, we let the substitution pattern wrap around, so that we replace X
with A, Y with B, and Z with C.
Converting Between Strings and Character Lists
Given that strings are immutable, we cannot directly edit an instance to encrypt it.
Instead, our goal will be to generate a new string. A convenient technique for performing string transformations is to create an equivalent list of characters, edit the
list, and then reassemble a (new) string based on the list. The first step can be performed by sending the string as a parameter to the constructor of the list class. For
example, the expression list( bird ) produces the result [ b , i , r , d ].
Conversely, we can use a list of characters to build a string by invoking the join
method on an empty string, with the list of characters as the parameter. For example, the call .join([ b , i , r , d ]) returns the string bird .
Using Characters as Array Indices
If we were to number our letters like array indices, so that A is 0, B is 1, C is 2,
and so on, then we can write the Caesar cipher with a rotation of r as a simple
formula: Replace each letter i with the letter (i + r) mod 26, where mod is the
modulo operator, which returns the remainder after performing an integer division.
This operator is denoted with % in Python, and it is exactly the operator we need
to easily perform the wrap around at the end of the alphabet. For 26 mod 26 is
0, 27 mod 26 is 1, and 28 mod 26 is 2. The decryption algorithm for the Caesar
cipher is just the opposite—we replace each letter with the one r places before it,
with wrap around (that is, letter i is replaced by letter (i − r) mod 26).
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5.5. Using Array-Based Sequences
217
We can represent a replacement rule using another string to describe the translation. As a concrete example, suppose we are using a Caesar cipher with a threecharacter rotation. We can precompute a string that represents the replacements
that should be used for each character from A to Z. For example, A should be replaced by D, B replaced by E, and so on. The 26 replacement characters in order
are DEFGHIJKLMNOPQRSTUVWXYZABC . We can subsequently use this translation
string as a guide to encrypt a message. The remaining challenge is how to quickly
locate the replacement for each character of the original message.
Fortunately, we can rely on the fact that characters are represented in Unicode
by integer code points, and the code points for the uppercase letters of the Latin
alphabet are consecutive (for simplicity, we restrict our encryption to uppercase
letters). Python supports functions that convert between integer code points and
one-character strings. Specifically, the function ord(c) takes a one-character string
as a parameter and returns the integer code point for that character. Conversely, the
function chr(j) takes an integer and returns its associated one-character string.
In order to find a replacement for a character in our Caesar cipher, we need to
map the characters A to Z to the respective numbers 0 to 25. The formula for
doing that conversion is j = ord(c) − ord( A ). As a sanity check, if character c
is A , we have that j = 0. When c is B , we will find that its ordinal value is precisely one more than that for A , so their difference is 1. In general, the integer j
that results from such a calculation can be used as an index into our precomputed
translation string, as illustrated in Figure 5.21.
encoder array
D E F G H
I
J K L M N O P Q R S T U V W X Y Z A B C
0
5
6
1
2
3
4
7
8
9
Using T as an index
In Unicode
10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25
ord( T ) − ord( A )
Here is the
= 84
− 65
replacement
for T
= 19
Figure 5.21: Illustrating the use of uppercase characters as indices, in this case to
perform the replacement rule for Caesar cipher encryption.
In Code Fragment 5.11, we develop a Python class for performing the Caesar
cipher with an arbitrary rotational shift, and demonstrate its use. When we run this
program (to perform a simple test), we get the following output.
Secret: WKH HDJOH LV LQ SODB; PHHW DW MRH’V.
Message: THE EAGLE IS IN PLAY; MEET AT JOE’S.
The constructor for the class builds the forward and backward translation strings for
the given rotation. With those in hand, the encryption and decryption algorithms
are essentially the same, and so we perform both by means of a nonpublic utility
method named transform.
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218
Chapter 5. Array-Based Sequences
1 class CaesarCipher:
2
”””Class for doing encryption and decryption using a Caesar cipher.”””
3
4
def init (self, shift):
5
”””Construct Caesar cipher using given integer shift for rotation.”””
# temp array for encryption
6
encoder = [None] 26
# temp array for decryption
7
decoder = [None] 26
8
for k in range(26):
9
encoder[k] = chr((k + shift) % 26 + ord( A ))
10
decoder[k] = chr((k − shift) % 26 + ord( A ))
# will store as string
11
self. forward = .join(encoder)
# since fixed
12
self. backward = .join(decoder)
13
14
def encrypt(self, message):
15
”””Return string representing encripted message.”””
16
return self. transform(message, self. forward)
17
18
def decrypt(self, secret):
19
”””Return decrypted message given encrypted secret.”””
20
return self. transform(secret, self. backward)
21
22
def transform(self, original, code):
23
”””Utility to perform transformation based on given code string.”””
24
msg = list(original)
25
for k in range(len(msg)):
26
if msg[k].isupper( ):
# index from 0 to 25
27
j = ord(msg[k]) − ord( A )
28
msg[k] = code[j]
# replace this character
29
return .join(msg)
30
31 if name == __main__ :
32
cipher = CaesarCipher(3)
33
message = "THE EAGLE IS IN PLAY; MEET AT JOE S."
34
coded = cipher.encrypt(message)
35
print( Secret: , coded)
36
answer = cipher.decrypt(coded)
37
print( Message: , answer)
Code Fragment 5.11: A complete Python class for the Caesar cipher.
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5.6. Multidimensional Data Sets
5.6
219
Multidimensional Data Sets
Lists, tuples, and strings in Python are one-dimensional. We use a single index to
access each element of the sequence. Many computer applications involve multidimensional data sets. For example, computer graphics are often modeled in
either two or three dimensions. Geographic information may be naturally represented in two dimensions, medical imaging may provide three-dimensional scans
of a patient, and a company’s valuation is often based upon a high number of independent financial measures that can be modeled as multidimensional data. A
two-dimensional array is sometimes also called a matrix. We may use two indices,
say i and j, to refer to the cells in the matrix. The first index usually refers to a
row number and the second to a column number, and these are traditionally zeroindexed in computer science. Figure 5.22 illustrates a two-dimensional data set
with integer values. This data might, for example, represent the number of stores
in various regions of Manhattan.
0
1
2
3
4
5
6
7
0
1
2
3
4
5
6
7
8
9
22
45
4
940
50
398
33
62
18
32
880
12
65
233
58
394
709
830
45
36
42
5
632
3
5
120
66
3
49
83
87
4
33
750
61
20
88
59
94
102
10
660
28
100
25
232
5
140
4
13
650
306
70
49
59
183
56
77
7
590
126
8
204
390
82
20
510
0
83
365
120
16
440
105
67
500
288
90
829
26
Figure 5.22: Illustration of a two-dimensional integer data set, which has 8 rows
and 10 columns. The rows and columns are zero-indexed. If this data set were
named stores, the value of stores[3][5] is 100 and the value of stores[6][2] is 632.
A common representation for a two-dimensional data set in Python is as a list
of lists. In particular, we can represent a two-dimensional array as a list of rows,
with each row itself being a list of values. For example, the two-dimensional data
22
45
4
18
32
880
709
830
45
5
120
66
33
750
61
might be stored in Python as follows.
data = [ [22, 18, 709, 5, 33], [45, 32, 830, 120, 750], [4, 880, 45, 66, 61] ]
An advantage of this representation is that we can naturally use a syntax such
as data[1][3] to represent the value that has row index 1 and column index 3, as
data[1], the second entry in the outer list, is itself a list, and thus indexable.
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Chapter 5. Array-Based Sequences
220
Constructing a Multidimensional List
To quickly initialize a one-dimensional list, we generally rely on a syntax such as
data = [0] n to create a list of n zeros. On page 189, we emphasized that from
a technical perspective, this creates a list of length n with all entries referencing
the same integer instance, but that there was no meaningful consequence of such
aliasing because of the immutability of the int class in Python.
We have to be considerably more careful when creating a list of lists. If our
goal were to create the equivalent of a two-dimensional list of integers, with r rows
and c columns, and to initialize all values to zero, a flawed approach might be to
try the command
data = ([0]
c)
r
# Warning: this is a mistake
While([0] c) is indeed a list of c zeros, multiplying that list by r unfortunately creates a single list with length r · c, just as [2,4,6] 2 results in list [2, 4, 6, 2, 4, 6].
A better, yet still flawed attempt is to make a list that contains the list of c zeros
as its only element, and then to multiply that list by r. That is, we could try the
command
data = [ [0]
c]
r
# Warning: still a mistake
This is much closer, as we actually do have a structure that is formally a list of lists.
The problem is that all r entries of the list known as data are references to the same
instance of a list of c zeros. Figure 5.23 provides a portrayal of such aliasing.
0
0
0
0
0
0
0
1
2
3
4
5
data:
0
1
2
Figure 5.23: A flawed representation of a 3× 6 data set as a list of lists, created with
the command data = [ [0] 6 ] 3. (For simplicity, we overlook the fact that the
values in the secondary list are referential.)
This is truly a problem. Setting an entry such as data[2][0] = 100 would change
the first entry of the secondary list to reference a new value, 100. Yet that cell of
the secondary list also represents the value data[0][0], because “row” data[0] and
“row” data[2] refer to the same secondary list.
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5.6. Multidimensional Data Sets
221
0
0
0
0
0
0
0 0
0
0 0
0
0
0
0
0
0
0
0
1
2
3
4
5
0
1
2
3
5
0
1
2
3
4
5
4
data:
0
1
2
Figure 5.24: A valid representation of a 3× 6 data set as a list of lists. (For simplic-
ity, we overlook the fact that the values in the secondary lists are referential.)
To properly initialize a two-dimensional list, we must ensure that each cell of
the primary list refers to an independent instance of a secondary list. This can be
accomplished through the use of Python’s list comprehension syntax.
data = [ [0]
c for j in range(r) ]
This command produces a valid configuration, similar to the one shown in Figure 5.24. By using list comprehension, the expression [0] c is reevaluated for
each pass of the embedded for loop. Therefore, we get r distinct secondary lists, as
desired. (We note that the variable j in that command is irrelevant; we simply need
a for loop that iterates r times.)
Two-Dimensional Arrays and Positional Games
Many computer games, be they strategy games, simulation games, or first-person
conflict games, involve objects that reside in a two-dimensional space. Software for
such positional games need a way of representing such a two-dimensional “board,”
and in Python the list of lists is a natural choice.
Tic-Tac-Toe
As most school children know, Tic-Tac-Toe is a game played in a three-by-three
board. Two players—X and O—alternate in placing their respective marks in the
cells of this board, starting with player X. If either player succeeds in getting three
of his or her marks in a row, column, or diagonal, then that player wins.
This is admittedly not a sophisticated positional game, and it’s not even that
much fun to play, since a good player O can always force a tie. Tic-Tac-Toe’s saving
grace is that it is a nice, simple example showing how two-dimensional arrays can
be used for positional games. Software for more sophisticated positional games,
such as checkers, chess, or the popular simulation games, are all based on the same
approach we illustrate here for using a two-dimensional array for Tic-Tac-Toe.
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Chapter 5. Array-Based Sequences
222
Our representation of a 3 × 3 board will be a list of lists of characters, with
X or O designating a player’s move, or
designating an empty space. For
example, the board configuration
O X O
X
O X
will be stored internally as
[ [ O , X , O ], [
, X ,
], [
, O , X ]]
We develop a complete Python class for maintaining a Tic-Tac-Toe board for
two players. That class will keep track of the moves and report a winner, but it
does not perform any strategy or allow someone to play Tic-Tac-Toe against the
computer. The details of such a program are beyond the scope of this chapter, but
it might nonetheless make a good course project (see Exercise P-8.68).
Before presenting the implementation of the class, we demonstrate its public
interface with a simple test in Code Fragment 5.12.
1
2
3
4
5
6
7
8
9
10
11
12
13
14
game = TicTacToe( )
# X moves:
game.mark(1, 1);
game.mark(2, 2);
game.mark(0, 1);
game.mark(1, 2);
game.mark(2, 0)
# O moves:
game.mark(0,
game.mark(0,
game.mark(2,
game.mark(1,
2)
0)
1)
0)
print(game)
winner = game.winner( )
if winner is None:
print( Tie )
else:
print(winner, wins )
Code Fragment 5.12: A simple test for our Tic-Tac-Toe class.
The basic operations are that a new game instance represents an empty board,
that the mark(i,j) method adds a mark at the given position for the current player
(with the software managing the alternating of turns), and that the game board can
be printed and the winner determined. The complete source code for the TicTacToe
class is given in Code Fragment 5.13. Our mark method performs error checking
to make sure that valid indices are sent, that the position is not already occupied,
and that no further moves are made after someone wins the game.
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5.6. Multidimensional Data Sets
223
1 class TicTacToe:
2
”””Management of a Tic-Tac-Toe game (does not do strategy).”””
3
4
def init (self):
5
”””Start a new game.”””
6
self. board = [ [
] 3 for j in range(3) ]
7
self. player = X
8
9
def mark(self, i, j):
10
”””Put an X or O mark at position (i,j) for next player s turn.”””
11
if not (0 <= i <= 2 and 0 <= j <= 2):
12
raise ValueError( Invalid board position )
13
if self. board[i][j] !=
:
14
raise ValueError( Board position occupied )
15
if self.winner( ) is not None:
16
raise ValueError( Game is already complete )
17
self. board[i][j] = self. player
18
if self. player == X :
19
self. player = O
20
else:
21
self. player = X
22
23
def is win(self, mark):
24
”””Check whether the board configuration is a win for the given player.”””
25
board = self. board
# local variable for shorthand
26
return (mark == board[0][0] == board[0][1] == board[0][2] or
# row 0
27
mark == board[1][0] == board[1][1] == board[1][2] or
# row 1
28
mark == board[2][0] == board[2][1] == board[2][2] or
# row 2
29
mark == board[0][0] == board[1][0] == board[2][0] or
# column 0
30
mark == board[0][1] == board[1][1] == board[2][1] or
# column 1
31
mark == board[0][2] == board[1][2] == board[2][2] or
# column 2
32
mark == board[0][0] == board[1][1] == board[2][2] or
# diagonal
33
mark == board[0][2] == board[1][1] == board[2][0])
# rev diag
34
35
def winner(self):
36
”””Return mark of winning player, or None to indicate a tie.”””
37
for mark in XO :
38
if self. is win(mark):
39
return mark
40
return None
41
42
def str (self):
43
”””Return string representation of current game board.”””
44
rows = [ | .join(self. board[r]) for r in range(3)]
45
return \n-----\n .join(rows)
Code Fragment 5.13: A complete Python class for managing a Tic-Tac-Toe game.
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Chapter 5. Array-Based Sequences
224
5.7
Exercises
For help with exercises, please visit the site, www.wiley.com/college/goodrich.
Reinforcement
R-5.1 Execute the experiment from Code Fragment 5.1 and compare the results
on your system to those we report in Code Fragment 5.2.
R-5.2 In Code Fragment 5.1, we perform an experiment to compare the length of
a Python list to its underlying memory usage. Determining the sequence
of array sizes requires a manual inspection of the output of that program.
Redesign the experiment so that the program outputs only those values of
k at which the existing capacity is exhausted. For example, on a system
consistent with the results of Code Fragment 5.2, your program should
output that the sequence of array capacities are 0, 4, 8, 16, 25, . . . .
R-5.3 Modify the experiment from Code Fragment 5.1 in order to demonstrate
that Python’s list class occasionally shrinks the size of its underlying array
when elements are popped from a list.
R-5.4 Our DynamicArray class, as given in Code Fragment 5.3, does not support
use of negative indices with getitem . Update that method to better
match the semantics of a Python list.
R-5.5 Redo the justification of Proposition 5.1 assuming that the the cost of
growing the array from size k to size 2k is 3k cyber-dollars. How much
should each append operation be charged to make the amortization work?
R-5.6 Our implementation of insert for the DynamicArray class, as given in
Code Fragment 5.5, has the following inefficiency. In the case when a resize occurs, the resize operation takes time to copy all the elements from
an old array to a new array, and then the subsequent loop in the body of
insert shifts many of those elements. Give an improved implementation
of the insert method, so that, in the case of a resize, the elements are
shifted into their final position during that operation, thereby avoiding the
subsequent shifting.
R-5.7 Let A be an array of size n ≥ 2 containing integers from 1 to n − 1, inclusive, with exactly one repeated. Describe a fast algorithm for finding the
integer in A that is repeated.
R-5.8 Experimentally evaluate the efficiency of the pop method of Python’s list
class when using varying indices as a parameter, as we did for insert on
page 205. Report your results akin to Table 5.5.
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5.7. Exercises
225
R-5.9 Explain the changes that would have to be made to the program of Code
Fragment 5.11 so that it could perform the Caesar cipher for messages
that are written in an alphabet-based language other than English, such as
Greek, Russian, or Hebrew.
R-5.10 The constructor for the CaesarCipher class in Code Fragment 5.11 can
be implemented with a two-line body by building the forward and backward strings using a combination of the join method and an appropriate
comprehension syntax. Give such an implementation.
R-5.11 Use standard control structures to compute the sum of all numbers in an
n × n data set, represented as a list of lists.
R-5.12 Describe how the built-in sum function can be combined with Python’s
comprehension syntax to compute the sum of all numbers in an n × n data
set, represented as a list of lists.
Creativity
C-5.13 In the experiment of Code Fragment 5.1, we begin with an empty list. If
data were initially constructed with nonempty length, does this affect the
sequence of values at which the underlying array is expanded? Perform
your own experiments, and comment on any relationship you see between
the initial length and the expansion sequence.
C-5.14 The shuffle method, supported by the random module, takes a Python
list and rearranges it so that every possible ordering is equally likely.
Implement your own version of such a function. You may rely on the
randrange(n) function of the random module, which returns a random
number between 0 and n − 1 inclusive.
C-5.15 Consider an implementation of a dynamic array, but instead of copying
the elements into an array of double the size (that is, from N to 2N) when
its capacity is reached, we copy the elements into an array with N/4
additional cells, going from capacity N to capacity N + N/4. Prove that
performing a sequence of n append operations still runs in O(n) time in
this case.
C-5.16 Implement a pop method for the DynamicArray class, given in Code Fragment 5.3, that removes the last element of the array, and that shrinks the
capacity, N, of the array by half any time the number of elements in the
array goes below N/4.
C-5.17 Prove that when using a dynamic array that grows and shrinks as in the
previous exercise, the following series of 2n operations takes O(n) time:
n append operations on an initially empty array, followed by n pop operations.
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226
Chapter 5. Array-Based Sequences
C-5.18 Give a formal proof that any sequence of n append or pop operations on
an initially empty dynamic array takes O(n) time, if using the strategy
described in Exercise C-5.16.
C-5.19 Consider a variant of Exercise C-5.16, in which an array of capacity N is
resized to capacity precisely that of the number of elements, any time the
number of elements in the array goes strictly below N/4. Give a formal
proof that any sequence of n append or pop operations on an initially
empty dynamic array takes O(n) time.
C-5.20 Consider a variant of Exercise C-5.16, in which an array of capacity N, is
resized to capacity precisely that of the number of elements, any time the
number of elements in the array goes strictly below N/2. Show that there
exists a sequence of n operations that requires Ω(n2 ) time to execute.
C-5.21 In Section 5.4.2, we described four different ways to compose a long
string: (1) repeated concatenation, (2) appending to a temporary list and
then joining, (3) using list comprehension with join, and (4) using generator comprehension with join. Develop an experiment to test the efficiency
of all four of these approaches and report your findings.
C-5.22 Develop an experiment to compare the relative efficiency of the extend
method of Python’s list class versus using repeated calls to append to
accomplish the equivalent task.
C-5.23 Based on the discussion of page 207, develop an experiment to compare
the efficiency of Python’s list comprehension syntax versus the construction of a list by means of repeated calls to append.
C-5.24 Perform experiments to evaluate the efficiency of the remove method of
Python’s list class, as we did for insert on page 205. Use known values so
that all removals occur either at the beginning, middle, or end of the list.
Report your results akin to Table 5.5.
C-5.25 The syntax data.remove(value) for Python list data removes only the first
occurrence of element value from the list. Give an implementation of a
function, with signature remove all(data, value), that removes all occurrences of value from the given list, such that the worst-case running time
of the function is O(n) on a list with n elements. Not that it is not efficient
enough in general to rely on repeated calls to remove.
C-5.26 Let B be an array of size n ≥ 6 containing integers from 1 to n − 5, inclusive, with exactly five repeated. Describe a good algorithm for finding the
five integers in B that are repeated.
C-5.27 Given a Python list L of n positive integers, each represented with k =
log n + 1 bits, describe an O(n)-time method for finding a k-bit integer
not in L.
C-5.28 Argue why any solution to the previous problem must run in Ω(n) time.
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Chapter Notes
227
C-5.29 A useful operation in databases is the natural join. If we view a database
as a list of ordered pairs of objects, then the natural join of databases A
and B is the list of all ordered triples (x, y, z) such that the pair (x, y) is in
A and the pair (y, z) is in B. Describe and analyze an efficient algorithm
for computing the natural join of a list A of n pairs and a list B of m pairs.
C-5.30 When Bob wants to send Alice a message M on the Internet, he breaks M
into n data packets, numbers the packets consecutively, and injects them
into the network. When the packets arrive at Alice’s computer, they may
be out of order, so Alice must assemble the sequence of n packets in order
before she can be sure she has the entire message. Describe an efficient
scheme for Alice to do this, assuming that she knows the value of n. What
is the running time of this algorithm?
C-5.31 Describe a way to use recursion to add all the numbers in an n × n data
set, represented as a list of lists.
Projects
P-5.32 Write a Python function that takes two three-dimensional numeric data
sets and adds them componentwise.
P-5.33 Write a Python program for a matrix class that can add and multiply twodimensional arrays of numbers, assuming the dimensions agree appropriately for the operation.
P-5.34 Write a program that can perform the Caesar cipher for English messages
that include both upper- and lowercase characters.
P-5.35 Implement a class, SubstitutionCipher, with a constructor that takes a
string with the 26 uppercase letters in an arbitrary order and uses that for
the forward mapping for encryption (akin to the self. forward string in
our CaesarCipher class of Code Fragment 5.11). You should derive the
backward mapping from the forward version.
P-5.36 Redesign the CaesarCipher class as a subclass of the SubstitutionCipher
from the previous problem.
P-5.37 Design a RandomCipher class as a subclass of the SubstitutionCipher
from Exercise P-5.35, so that each instance of the class relies on a random
permutation of letters for its mapping.
Chapter Notes
The fundamental data structures of arrays belong to the folklore of computer science. They
were first chronicled in the computer science literature by Knuth in his seminal book on
Fundamental Algorithms [64].
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Chapter
6
Stacks, Queues, and Deques
Contents
6.1
Stacks . . . . . . . . . . . . . . . . . . . . . . .
6.1.1 The Stack Abstract Data Type . . . . . . .
6.1.2 Simple Array-Based Stack Implementation .
6.1.3 Reversing Data Using a Stack . . . . . . .
6.1.4 Matching Parentheses and HTML Tags . .
6.2 Queues . . . . . . . . . . . . . . . . . . . . . .
6.2.1 The Queue Abstract Data Type . . . . . .
6.2.2 Array-Based Queue Implementation . . . .
6.3 Double-Ended Queues . . . . . . . . . . . . . .
6.3.1 The Deque Abstract Data Type . . . . . .
6.3.2 Implementing a Deque with a Circular Array
6.3.3 Deques in the Python Collections Module .
6.4 Exercises . . . . . . . . . . . . . . . . . . . . .
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250
6.1. Stacks
6.1
229
Stacks
A stack is a collection of objects that are inserted and removed according to the
last-in, first-out (LIFO) principle. A user may insert objects into a stack at any
time, but may only access or remove the most recently inserted object that remains
(at the so-called “top” of the stack). The name “stack” is derived from the metaphor
of a stack of plates in a spring-loaded, cafeteria plate dispenser. In this case, the
fundamental operations involve the “pushing” and “popping” of plates on the stack.
When we need a new plate from the dispenser, we “pop” the top plate off the stack,
and when we add a plate, we “push” it down on the stack to become the new top
plate. Perhaps an even more amusing example is a PEZ ® candy dispenser, which
stores mint candies in a spring-loaded container that “pops” out the topmost candy
in the stack when the top of the dispenser is lifted (see Figure 6.1). Stacks are
a fundamental data structure. They are used in many applications, including the
following.
Example 6.1: Internet Web browsers store the addresses of recently visited sites
in a stack. Each time a user visits a new site, that site’s address is “pushed” onto the
stack of addresses. The browser then allows the user to “pop” back to previously
visited sites using the “back” button.
Example 6.2: Text editors usually provide an “undo” mechanism that cancels recent editing operations and reverts to former states of a document. This undo operation can be accomplished by keeping text changes in a stack.
Figure 6.1: A schematic drawing of a PEZ ® dispenser; a physical implementation
of the stack ADT. (PEZ ® is a registered trademark of PEZ Candy, Inc.)
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Chapter 6. Stacks, Queues, and Deques
230
6.1.1 The Stack Abstract Data Type
Stacks are the simplest of all data structures, yet they are also among the most
important. They are used in a host of different applications, and as a tool for many
more sophisticated data structures and algorithms. Formally, a stack is an abstract
data type (ADT) such that an instance S supports the following two methods:
S.push(e): Add element e to the top of stack S.
S.pop( ): Remove and return the top element from the stack S;
an error occurs if the stack is empty.
Additionally, let us define the following accessor methods for convenience:
S.top( ): Return a reference to the top element of stack S, without
removing it; an error occurs if the stack is empty.
S.is empty( ): Return True if stack S does not contain any elements.
len(S): Return the number of elements in stack S; in Python, we
implement this with the special method len .
By convention, we assume that a newly created stack is empty, and that there is no
a priori bound on the capacity of the stack. Elements added to the stack can have
arbitrary type.
Example 6.3: The following table shows a series of stack operations and their
effects on an initially empty stack S of integers.
Operation
S.push(5)
S.push(3)
len(S)
S.pop( )
S.is empty( )
S.pop( )
S.is empty( )
S.pop( )
S.push(7)
S.push(9)
S.top( )
S.push(4)
len(S)
S.pop( )
S.push(6)
S.push(8)
S.pop( )
Return Value
–
–
2
3
False
5
True
“error”
–
–
9
–
3
4
–
–
8
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Stack Contents
[5]
[5, 3]
[5, 3]
[5]
[5]
[]
[]
[]
[7]
[7, 9]
[7, 9]
[7, 9, 4]
[7, 9, 4]
[7, 9]
[7, 9, 6]
[7, 9, 6, 8]
[7, 9, 6]
6.1. Stacks
231
6.1.2 Simple Array-Based Stack Implementation
We can implement a stack quite easily by storing its elements in a Python list. The
list class already supports adding an element to the end with the append method,
and removing the last element with the pop method, so it is natural to align the top
of the stack at the end of the list, as shown in Figure 6.2.
A B C D E F G
0
1
K L M
2
top
Figure 6.2: Implementing a stack with a Python list, storing the top element in the
rightmost cell.
Although a programmer could directly use the list class in place of a formal
stack class, lists also include behaviors (e.g., adding or removing elements from
arbitrary positions) that would break the abstraction that the stack ADT represents.
Also, the terminology used by the list class does not precisely align with traditional
nomenclature for a stack ADT, in particular the distinction between append and
push. Instead, we demonstrate how to use a list for internal storage while providing
a public interface consistent with a stack.
The Adapter Pattern
The adapter design pattern applies to any context where we effectively want to
modify an existing class so that its methods match those of a related, but different,
class or interface. One general way to apply the adapter pattern is to define a new
class in such a way that it contains an instance of the existing class as a hidden
field, and then to implement each method of the new class using methods of this
hidden instance variable. By applying the adapter pattern in this way, we have
created a new class that performs some of the same functions as an existing class,
but repackaged in a more convenient way. In the context of the stack ADT, we can
adapt Python’s list class using the correspondences shown in Table 6.1.
Stack Method
S.push(e)
S.pop( )
S.top( )
S.is empty( )
len(S)
Realization with Python list
L.append(e)
L.pop( )
L[−1]
len(L) == 0
len(L)
Table 6.1: Realization of a stack S as an adaptation of a Python list L.
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Chapter 6. Stacks, Queues, and Deques
232
Implementing a Stack Using a Python List
We use the adapter design pattern to define an ArrayStack class that uses an underlying Python list for storage. (We choose the name ArrayStack to emphasize
that the underlying storage is inherently array based.) One question that remains is
what our code should do if a user calls pop or top when the stack is empty. Our
ADT suggests that an error occurs, but we must decide what type of error. When
pop is called on an empty Python list, it formally raises an IndexError, as lists are
index-based sequences. That choice does not seem appropriate for a stack, since
there is no assumption of indices. Instead, we can define a new exception class that
is more appropriate. Code Fragment 6.1 defines such an Empty class as a trivial
subclass of the Python Exception class.
class Empty(Exception):
”””Error attempting to access an element from an empty container.”””
pass
Code Fragment 6.1: Definition for an Empty exception class.
The formal definition for our ArrayStack class is given in Code Fragment 6.2.
The constructor establishes the member self. data as an initially empty Python list,
for internal storage. The rest of the public stack behaviors are implemented, using
the corresponding adaptation that was outlined in Table 6.1.
Example Usage
Below, we present an example of the use of our ArrayStack class, mirroring the
operations at the beginning of Example 6.3 on page 230.
S = ArrayStack( )
S.push(5)
S.push(3)
print(len(S))
print(S.pop( ))
print(S.is empty( ))
print(S.pop( ))
print(S.is empty( ))
S.push(7)
S.push(9)
print(S.top( ))
S.push(4)
print(len(S))
print(S.pop( ))
S.push(6)
#
#
#
#
#
#
#
#
#
#
#
#
#
#
#
contents:
contents:
contents:
contents:
contents:
contents:
contents:
contents:
contents:
contents:
contents:
contents:
contents:
contents:
contents:
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[]
[5]
[5, 3]
[5, 3];
[5];
[5];
[ ];
[ ];
[7]
[7, 9]
[7, 9];
[7, 9, 4]
[7, 9, 4];
[7, 9];
[7, 9, 6]
outputs
outputs
outputs
outputs
outputs
2
3
False
5
True
outputs 9
outputs 3
outputs 4
6.1. Stacks
233
1 class ArrayStack:
2
”””LIFO Stack implementation using a Python list as underlying storage.”””
3
4
def init (self):
5
”””Create an empty stack.”””
# nonpublic list instance
6
self. data = [ ]
7
8
def len (self):
9
”””Return the number of elements in the stack.”””
10
return len(self. data)
11
12
def is empty(self):
13
”””Return True if the stack is empty.”””
14
return len(self. data) == 0
15
16
def push(self, e):
17
”””Add element e to the top of the stack.”””
# new item stored at end of list
18
self. data.append(e)
19
20
def top(self):
21
”””Return (but do not remove) the element at the top of the stack.
22
23
Raise Empty exception if the stack is empty.
24
”””
25
if self.is empty( ):
26
raise Empty( Stack is empty )
# the last item in the list
27
return self. data[−1]
28
29
def pop(self):
30
”””Remove and return the element from the top of the stack (i.e., LIFO).
31
32
Raise Empty exception if the stack is empty.
33
”””
34
if self.is empty( ):
35
raise Empty( Stack is empty )
# remove last item from list
36
return self. data.pop( )
Code Fragment 6.2: Implementing a stack using a Python list as storage.
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Chapter 6. Stacks, Queues, and Deques
234
Analyzing the Array-Based Stack Implementation
Table 6.2 shows the running times for our ArrayStack methods. The analysis directly mirrors the analysis of the list class given in Section 5.3. The implementations for top, is empty, and len use constant time in the worst case. The O(1) time
for push and pop are amortized bounds (see Section 5.3.2); a typical call to either
of these methods uses constant time, but there is occasionally an O(n)-time worst
case, where n is the current number of elements in the stack, when an operation
causes the list to resize its internal array. The space usage for a stack is O(n).
Operation
S.push(e)
S.pop( )
S.top( )
S.is empty( )
len(S)
∗ amortized
Running Time
O(1)∗
O(1)∗
O(1)
O(1)
O(1)
Table 6.2: Performance of our array-based stack implementation. The bounds for
push and pop are amortized due to similar bounds for the list class. The space
usage is O(n), where n is the current number of elements in the stack.
Avoiding Amortization by Reserving Capacity
In some contexts, there may be additional knowledge that suggests a maximum size
that a stack will reach. Our implementation of ArrayStack from Code Fragment 6.2
begins with an empty list and expands as needed. In the analysis of lists from
Section 5.4.1, we emphasized that it is more efficient in practice to construct a list
with initial length n than it is to start with an empty list and append n items (even
though both approaches run in O(n) time).
As an alternate model for a stack, we might wish for the constructor to accept
a parameter specifying the maximum capacity of a stack and to initialize the data
member to a list of that length. Implementing such a model requires significant
changes relative to Code Fragment 6.2. The size of the stack would no longer be
synonymous with the length of the list, and pushes and pops of the stack would not
require changing the length of the list. Instead, we suggest maintaining a separate
integer as an instance variable that denotes the current number of elements in the
stack. Details of such an implementation are left as Exercise C-6.17.
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6.1. Stacks
235
6.1.3 Reversing Data Using a Stack
As a consequence of the LIFO protocol, a stack can be used as a general tool to
reverse a data sequence. For example, if the values 1, 2, and 3 are pushed onto a
stack in that order, they will be popped from the stack in the order 3, 2, and then 1.
This idea can be applied in a variety of settings. For example, we might wish
to print lines of a file in reverse order in order to display a data set in decreasing
order rather than increasing order. This can be accomplished by reading each line
and pushing it onto a stack, and then writing the lines in the order they are popped.
An implementation of such a process is given in Code Fragment 6.3.
1 def reverse file(filename):
2
”””Overwrite given file with its contents line-by-line reversed.”””
3
S = ArrayStack( )
4
original = open(filename)
5
for line in original:
# we will re-insert newlines when writing
6
S.push(line.rstrip( \n ))
7
original.close( )
8
9
# now we overwrite with contents in LIFO order
# reopening file overwrites original
10
output = open(filename, w )
11
while not S.is empty( ):
12
output.write(S.pop( ) + \n ) # re-insert newline characters
13
output.close( )
Code Fragment 6.3: A function that reverses the order of lines in a file.
One technical detail worth noting is that we intentionally strip trailing newlines
from lines as they are read, and then re-insert newlines after each line when writing
the resulting file. Our reason for doing this is to handle a special case in which the
original file does not have a trailing newline for the final line. If we exactly echoed
the lines read from the file in reverse order, then the original last line would be followed (without newline) by the original second-to-last line. In our implementation,
we ensure that there will be a separating newline in the result.
The idea of using a stack to reverse a data set can be applied to other types of
sequences. For example, Exercise R-6.5 explores the use of a stack to provide yet
another solution for reversing the contents of a Python list (a recursive solution for
this goal was discussed in Section 4.4.1). A more challenging task is to reverse
the order in which elements are stored within a stack. If we were to move them
from one stack to another, they would be reversed, but if we were to then replace
them into the original stack, they would be reversed again, thereby reverting to their
original order. Exercise C-6.18 explores a solution for this task.
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Chapter 6. Stacks, Queues, and Deques
236
6.1.4 Matching Parentheses and HTML Tags
In this subsection, we explore two related applications of stacks, both of which
involve testing for pairs of matching delimiters. In our first application, we consider
arithmetic expressions that may contain various pairs of grouping symbols, such as
• Parentheses: “(” and “)”
• Braces: “{” and “}”
• Brackets: “[” and “]”
Each opening symbol must match its corresponding closing symbol. For example, a
left bracket, “[,” must match a corresponding right bracket, “],” as in the expression
[(5+x)-(y+z)]. The following examples further illustrate this concept:
•
•
•
•
•
Correct: ( )(( )){([( )])}
Correct: ((( )(( )){([( )])}))
Incorrect: )(( )){([( )])}
Incorrect: ({[ ])}
Incorrect: (
We leave the precise definition of a matching group of symbols to Exercise R-6.6.
An Algorithm for Matching Delimiters
An important task when processing arithmetic expressions is to make sure their
delimiting symbols match up correctly. Code Fragment 6.4 presents a Python implementation of such an algorithm. A discussion of the code follows.
1 def is matched(expr):
2
”””Return True if all delimiters are properly match; False otherwise.”””
# opening delimiters
3
lefty = ({[
# respective closing delims
4
righty = )}]
5
S = ArrayStack( )
6
for c in expr:
7
if c in lefty:
8
S.push(c)
# push left delimiter on stack
9
elif c in righty:
10
if S.is empty( ):
11
return False
# nothing to match with
12
if righty.index(c) != lefty.index(S.pop( )):
13
return False
# mismatched
# were all symbols matched?
14
return S.is empty( )
Code Fragment 6.4: Function for matching delimiters in an arithmetic expression.
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6.1. Stacks
237
We assume the input is a sequence of characters, such as [(5+x)-(y+z)] .
We perform a left-to-right scan of the original sequence, using a stack S to facilitate
the matching of grouping symbols. Each time we encounter an opening symbol,
we push that symbol onto S, and each time we encounter a closing symbol, we pop
a symbol from the stack S (assuming S is not empty), and check that these two
symbols form a valid pair. If we reach the end of the expression and the stack is
empty, then the original expression was properly matched. Otherwise, there must
be an opening delimiter on the stack without a matching symbol.
If the length of the original expression is n, the algorithm will make at most
n calls to push and n calls to pop. Those calls run in a total of O(n) time, even considering the amortized nature of the O(1) time bound for those methods. Given that
our selection of possible delimiters, ({[, has constant size, auxiliary tests such as
c in lefty and righty.index(c) each run in O(1) time. Combining these operations,
the matching algorithm on a sequence of length n runs in O(n) time.
Matching Tags in a Markup Language
Another application of matching delimiters is in the validation of markup languages
such as HTML or XML. HTML is the standard format for hyperlinked documents
on the Internet and XML is an extensible markup language used for a variety of
structured data sets. We show a sample HTML document and a possible rendering
in Figure 6.3.
<body>
<center>
<h1> The Little Boat </h1>
</center>
<p> The storm tossed the little
boat like a cheap sneaker in an
old washing machine. The three
drunken fishermen were used to
such treatment, of course, but
not the tree salesman, who even as
a stowaway now felt that he
had overpaid for the voyage. </p>
<ol>
<li> Will the salesman die? </li>
<li> What color is the boat? </li>
<li> And what about Naomi? </li>
</ol>
</body>
(a)
The Little Boat
The storm tossed the little boat
like a cheap sneaker in an
old washing machine. The three
drunken fishermen were used to
such treatment, of course, but not
the tree salesman, who even as
a stowaway now felt that he had
overpaid for the voyage.
1. Will the salesman die?
2. What color is the boat?
3. And what about Naomi?
(b)
Figure 6.3: Illustrating HTML tags. (a) An HTML document; (b) its rendering.
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Chapter 6. Stacks, Queues, and Deques
238
In an HTML document, portions of text are delimited by HTML tags. A simple
opening HTML tag has the form “<name>” and the corresponding closing tag has
the form “</name>”. For example, we see the <body> tag on the first line of
Figure 6.3(a), and the matching </body> tag at the close of that document. Other
commonly used HTML tags that are used in this example include:
•
•
•
•
•
•
body: document body
h1: section header
center: center justify
p: paragraph
ol: numbered (ordered) list
li: list item
Ideally, an HTML document should have matching tags, although most browsers
tolerate a certain number of mismatching tags. In Code Fragment 6.5, we give a
Python function that matches tags in a string representing an HTML document. We
make a left-to-right pass through the raw string, using index j to track our progress
and the find method of the str class to locate the < and > characters that define
the tags. Opening tags are pushed onto the stack, and matched against closing tags
as they are popped from the stack, just as we did when matching delimiters in Code
Fragment 6.4. By similar analysis, this algorithm runs in O(n) time, where n is the
number of characters in the raw HTML source.
1 def is matched html(raw):
2
”””Return True if all HTML tags are properly match; False otherwise.”””
3
S = ArrayStack( )
# find first ’<’ character (if any)
4
j = raw.find( < )
5
while j != −1:
# find next ’>’ character
6
k = raw.find( > , j+1)
7
if k == −1:
8
return False
# invalid tag
9
tag = raw[j+1:k]
# strip away < >
# this is opening tag
10
if not tag.startswith( / ):
11
S.push(tag)
12
else:
# this is closing tag
13
if S.is empty( ):
14
return False
# nothing to match with
15
if tag[1:] != S.pop( ):
16
return False
# mismatched delimiter
# find next ’<’ character (if any)
17
j = raw.find( < , k+1)
# were all opening tags matched?
18
return S.is empty( )
Code Fragment 6.5: Function for testing if an HTML document has matching tags.
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6.2. Queues
6.2
239
Queues
Another fundamental data structure is the queue. It is a close “cousin” of the stack,
as a queue is a collection of objects that are inserted and removed according to the
first-in, first-out (FIFO) principle. That is, elements can be inserted at any time,
but only the element that has been in the queue the longest can be next removed.
We usually say that elements enter a queue at the back and are removed from
the front. A metaphor for this terminology is a line of people waiting to get on an
amusement park ride. People waiting for such a ride enter at the back of the line
and get on the ride from the front of the line. There are many other applications
of queues (see Figure 6.4). Stores, theaters, reservation centers, and other similar
services typically process customer requests according to the FIFO principle. A
queue would therefore be a logical choice for a data structure to handle calls to a
customer service center, or a wait-list at a restaurant. FIFO queues are also used by
many computing devices, such as a networked printer, or a Web server responding
to requests.
Tickets
(a)
er
ent
C
all
C
Call Queue
(b)
Figure 6.4: Real-world examples of a first-in, first-out queue. (a) People waiting in
line to purchase tickets; (b) phone calls being routed to a customer service center.
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6.2.1 The Queue Abstract Data Type
Formally, the queue abstract data type defines a collection that keeps objects in a
sequence, where element access and deletion are restricted to the first element in
the queue, and element insertion is restricted to the back of the sequence. This
restriction enforces the rule that items are inserted and deleted in a queue according to the first-in, first-out (FIFO) principle. The queue abstract data type (ADT)
supports the following two fundamental methods for a queue Q:
Q.enqueue(e): Add element e to the back of queue Q.
Q.dequeue( ): Remove and return the first element from queue Q;
an error occurs if the queue is empty.
The queue ADT also includes the following supporting methods (with first being
analogous to the stack’s top method):
Q.first( ): Return a reference to the element at the front of queue Q,
without removing it; an error occurs if the queue is empty.
Q.is empty( ): Return True if queue Q does not contain any elements.
len(Q): Return the number of elements in queue Q; in Python,
we implement this with the special method len .
By convention, we assume that a newly created queue is empty, and that there
is no a priori bound on the capacity of the queue. Elements added to the queue can
have arbitrary type.
Example 6.4: The following table shows a series of queue operations and their
effects on an initially empty queue Q of integers.
Operation
Q.enqueue(5)
Q.enqueue(3)
len(Q)
Q.dequeue( )
Q.is empty( )
Q.dequeue( )
Q.is empty( )
Q.dequeue( )
Q.enqueue(7)
Q.enqueue(9)
Q.first( )
Q.enqueue(4)
len(Q)
Q.dequeue( )
Return Value
–
–
2
5
False
3
True
“error”
–
–
7
–
3
7
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first ← Q ← last
[5]
[5, 3]
[5, 3]
[3]
[3]
[]
[]
[]
[7]
[7, 9]
[7, 9]
[7, 9, 4]
[7, 9, 4]
[9, 4]
6.2. Queues
241
6.2.2 Array-Based Queue Implementation
For the stack ADT, we created a very simple adapter class that used a Python list
as the underlying storage. It may be very tempting to use a similar approach for
supporting the queue ADT. We could enqueue element e by calling append(e) to
add it to the end of the list. We could use the syntax pop(0), as opposed to pop( ),
to intentionally remove the first element from the list when dequeuing.
As easy as this would be to implement, it is tragically inefficient. As we discussed in Section 5.4.1, when pop is called on a list with a non-default index, a
loop is executed to shift all elements beyond the specified index to the left, so as to
fill the hole in the sequence caused by the pop. Therefore, a call to pop(0) always
causes the worst-case behavior of Θ(n) time.
We can improve on the above strategy by avoiding the call to pop(0) entirely.
We can replace the dequeued entry in the array with a reference to None, and maintain an explicit variable f to store the index of the element that is currently at the
front of the queue. Such an algorithm for dequeue would run in O(1) time. After
several dequeue operations, this approach might lead to the configuration portrayed
in Figure 6.5.
E F G
0
1
2
K L M
f
Figure 6.5: Allowing the front of the queue to drift away from index 0.
Unfortunately, there remains a drawback to the revised approach. In the case
of a stack, the length of the list was precisely equal to the size of the stack (even if
the underlying array for the list was slightly larger). With the queue design that we
are considering, the situation is worse. We can build a queue that has relatively few
elements, yet which are stored in an arbitrarily large list. This occurs, for example,
if we repeatedly enqueue a new element and then dequeue another (allowing the
front to drift rightward). Over time, the size of the underlying list would grow to
O(m) where m is the total number of enqueue operations since the creation of the
queue, rather than the current number of elements in the queue.
This design would have detrimental consequences in applications in which
queues have relatively modest size, but which are used for long periods of time.
For example, the wait-list for a restaurant might never have more than 30 entries
at one time, but over the course of a day (or a week), the overall number of entries
would be significantly larger.
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Using an Array Circularly
In developing a more robust queue implementation, we allow the front of the queue
to drift rightward, and we allow the contents of the queue to “wrap around” the end
of an underlying array. We assume that our underlying array has fixed length N
that is greater that the actual number of elements in the queue. New elements
are enqueued toward the “end” of the current queue, progressing from the front to
index N − 1 and continuing at index 0, then 1. Figure 6.6 illustrates such a queue
with first element E and last element M.
I
J K L M
E F G H
0
1
f
2
N −1
Figure 6.6: Modeling a queue with a circular array that wraps around the end.
Implementing this circular view is not difficult. When we dequeue an element
and want to “advance” the front index, we use the arithmetic f = (f + 1) % N. Recall that the % operator in Python denotes the modulo operator, which is computed
by taking the remainder after an integral division. For example, 14 divided by 3 has
2
a quotient of 4 with remainder 2, that is, 14
3 = 4 3 . So in Python, 14 // 3 evaluates
to the quotient 4, while 14 % 3 evaluates to the remainder 2. The modulo operator
is ideal for treating an array circularly. As a concrete example, if we have a list
of length 10, and a front index 7, we can advance the front by formally computing
(7+1) % 10, which is simply 8, as 8 divided by 10 is 0 with a remainder of 8.
Similarly, advancing index 8 results in index 9. But when we advance from index 9
(the last one in the array), we compute (9+1) % 10, which evaluates to index 0 (as
10 divided by 10 has a remainder of zero).
A Python Queue Implementation
A complete implementation of a queue ADT using a Python list in circular fashion
is presented in Code Fragments 6.6 and 6.7. Internally, the queue class maintains
the following three instance variables:
data: is a reference to a list instance with a fixed capacity.
size: is an integer representing the current number of elements stored
in the queue (as opposed to the length of the data list).
front: is an integer that represents the index within data of the first
element of the queue (assuming the queue is not empty).
We initially reserve a list of moderate size for storing data, although the queue
formally has size zero. As a technicality, we initialize the front index to zero.
When front or dequeue are called with no elements in the queue, we raise an
instance of the Empty exception, defined in Code Fragment 6.1 for our stack.
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6.2. Queues
243
1 class ArrayQueue:
2
”””FIFO queue implementation using a Python list as underlying storage.”””
# moderate capacity for all new queues
3
DEFAULT CAPACITY = 10
4
5
def init (self):
6
”””Create an empty queue.”””
7
self. data = [None] ArrayQueue.DEFAULT CAPACITY
8
self. size = 0
9
self. front = 0
10
11
def len (self):
12
”””Return the number of elements in the queue.”””
13
return self. size
14
15
def is empty(self):
16
”””Return True if the queue is empty.”””
17
return self. size == 0
18
19
def first(self):
20
”””Return (but do not remove) the element at the front of the queue.
21
22
Raise Empty exception if the queue is empty.
23
”””
24
if self.is empty( ):
25
raise Empty( Queue is empty )
26
return self. data[self. front]
27
28
def dequeue(self):
29
”””Remove and return the first element of the queue (i.e., FIFO).
30
31
Raise Empty exception if the queue is empty.
32
”””
33
if self.is empty( ):
34
raise Empty( Queue is empty )
35
answer = self. data[self. front]
# help garbage collection
36
self. data[self. front] = None
37
self. front = (self. front + 1) % len(self. data)
38
self. size −= 1
39
return answer
Code Fragment 6.6: Array-based implementation of a queue (continued in Code
Fragment 6.7).
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244
40
41
42
43
44
45
46
47
48
49
50
51
52
53
54
55
56
def enqueue(self, e):
”””Add an element to the back of queue.”””
if self. size == len(self. data):
# double the array size
self. resize(2 len(self.data))
avail = (self. front + self. size) % len(self. data)
self. data[avail] = e
self. size += 1
# we assume cap >= len(self)
def resize(self, cap):
”””Resize to a new list of capacity >= len(self).”””
# keep track of existing list
old = self. data
# allocate list with new capacity
self. data = [None] cap
walk = self. front
# only consider existing elements
for k in range(self. size):
# intentionally shift indices
self. data[k] = old[walk]
walk = (1 + walk) % len(old)
# use old size as modulus
# front has been realigned
self. front = 0
Code Fragment 6.7: Array-based implementation of a queue (continued from Code
Fragment 6.6).
The implementation of len and is empty are trivial, given knowledge of
the size. The implementation of the front method is also simple, as the front
index tells us precisely where the desired element is located within the data list,
assuming that list is not empty.
Adding and Removing Elements
The goal of the enqueue method is to add a new element to the back of the queue.
We need to determine the proper index at which to place the new element. Although
we do not explicitly maintain an instance variable for the back of the queue, we
compute the location of the next opening based on the formula:
avail = (self. front + self. size) % len(self. data)
Note that we are using the size of the queue as it exists prior to the addition of the
new element. For example, consider a queue with capacity 10, current size 3, and
first element at index 5. The three elements of such a queue are stored at indices 5,
6, and 7. The new element should be placed at index (front + size) = 8. In a case
with wrap-around, the use of the modular arithmetic achieves the desired circular
semantics. For example, if our hypothetical queue had 3 elements with the first at
index 8, our computation of (8+3) % 10 evaluates to 1, which is perfect since the
three existing elements occupy indices 8, 9, and 0.
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6.2. Queues
245
When the dequeue method is called, the current value of self. front designates
the index of the value that is to be removed and returned. We keep a local reference to the element that will be returned, setting answer = self. data[self. front]
just prior to removing the reference to that object from the list, with the assignment
self. data[self. front] = None. Our reason for the assignment to None relates to
Python’s mechanism for reclaiming unused space. Internally, Python maintains a
count of the number of references that exist to each object. If that count reaches
zero, the object is effectively inaccessible, thus the system may reclaim that memory for future use. (For more details, see Section 15.1.2.) Since we are no longer
responsible for storing a dequeued element, we remove the reference to it from our
list so as to reduce that element’s reference count.
The second significant responsibility of the dequeue method is to update the
value of front to reflect the removal of the element, and the presumed promotion
of the second element to become the new first. In most cases, we simply want
to increment the index by one, but because of the possibility of a wrap-around
configuration, we rely on modular arithmetic as originally described on page 242.
Resizing the Queue
When enqueue is called at a time when the size of the queue equals the size of the
underlying list, we rely on a standard technique of doubling the storage capacity of
the underlying list. In this way, our approach is similar to the one used when we
implemented a DynamicArray in Section 5.3.1.
However, more care is needed in the queue’s resize utility than was needed in
the corresponding method of the DynamicArray class. After creating a temporary
reference to the old list of values, we allocate a new list that is twice the size and
copy references from the old list to the new list. While transferring the contents, we
intentionally realign the front of the queue with index 0 in the new array, as shown
in Figure 6.7. This realignment is not purely cosmetic. Since the modular arithmetic depends on the size of the array, our state would be flawed had we transferred
each element to its same index in the new array.
f
I
J
K
E
F
G
H
E
F
G
H
I
J
K
f=0
1
2
Figure 6.7: Resizing the queue, while realigning the front element with index 0.
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Chapter 6. Stacks, Queues, and Deques
246
Shrinking the Underlying Array
A desirable property of a queue implementation is to have its space usage be Θ(n)
where n is the current number of elements in the queue. Our ArrayQueue implementation, as given in Code Fragments 6.6 and 6.7, does not have this property.
It expands the underlying array when enqueue is called with the queue at full capacity, but the dequeue implementation never shrinks the underlying array. As a
consequence, the capacity of the underlying array is proportional to the maximum
number of elements that have ever been stored in the queue, not the current number
of elements.
We discussed this very issue on page 200, in the context of dynamic arrays, and
in subsequent Exercises C-5.16 through C-5.20 of that chapter. A robust approach
is to reduce the array to half of its current size, whenever the number of elements
stored in it falls below one fourth of its capacity. We can implement this strategy by
adding the following two lines of code in our dequeue method, just after reducing
self. size at line 38 of Code Fragment 6.6, to reflect the loss of an element.
if 0 < self. size < len(self. data) // 4:
self. resize(len(self. data) // 2)
Analyzing the Array-Based Queue Implementation
Table 6.3 describes the performance of our array-based implementation of the queue
ADT, assuming the improvement described above for occasionally shrinking the
size of the array. With the exception of the resize utility, all of the methods rely
on a constant number of statements involving arithmetic operations, comparisons,
and assignments. Therefore, each method runs in worst-case O(1) time, except
for enqueue and dequeue, which have amortized bounds of O(1) time, for reasons
similar to those given in Section 5.3.
Operation
Q.enqueue(e)
Q.dequeue( )
Q.first( )
Q.is empty( )
len(Q)
∗ amortized
Running Time
O(1)∗
O(1)∗
O(1)
O(1)
O(1)
Table 6.3: Performance of an array-based implementation of a queue. The bounds
for enqueue and dequeue are amortized due to the resizing of the array. The space
usage is O(n), where n is the current number of elements in the queue.
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6.3. Double-Ended Queues
6.3
247
Double-Ended Queues
We next consider a queue-like data structure that supports insertion and deletion
at both the front and the back of the queue. Such a structure is called a doubleended queue, or deque, which is usually pronounced “deck” to avoid confusion
with the dequeue method of the regular queue ADT, which is pronounced like the
abbreviation “D.Q.”
The deque abstract data type is more general than both the stack and the queue
ADTs. The extra generality can be useful in some applications. For example, we
described a restaurant using a queue to maintain a waitlist. Occassionally, the first
person might be removed from the queue only to find that a table was not available;
typically, the restaurant will re-insert the person at the first position in the queue. It
may also be that a customer at the end of the queue may grow impatient and leave
the restaurant. (We will need an even more general data structure if we want to
model customers leaving the queue from other positions.)
6.3.1 The Deque Abstract Data Type
To provide a symmetrical abstraction, the deque ADT is defined so that deque D
supports the following methods:
D.add first(e): Add element e to the front of deque D.
D.add last(e): Add element e to the back of deque D.
D.delete first( ): Remove and return the first element from deque D;
an error occurs if the deque is empty.
D.delete last( ): Remove and return the last element from deque D;
an error occurs if the deque is empty.
Additionally, the deque ADT will include the following accessors:
D.first( ): Return (but do not remove) the first element of deque D;
an error occurs if the deque is empty.
D.last( ): Return (but do not remove) the last element of deque D;
an error occurs if the deque is empty.
D.is empty( ): Return True if deque D does not contain any elements.
len(D): Return the number of elements in deque D; in Python,
we implement this with the special method len .
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Chapter 6. Stacks, Queues, and Deques
248
Example 6.5: The following table shows a series of operations and their effects
on an initially empty deque D of integers.
Operation
D.add last(5)
D.add first(3)
D.add first(7)
D.first( )
D.delete last( )
len(D)
D.delete last( )
D.delete last( )
D.add first(6)
D.last( )
D.add first(8)
D.is empty( )
D.last( )
Return Value
–
–
–
7
5
2
3
7
–
6
–
False
6
Deque
[5]
[3, 5]
[7, 3, 5]
[7, 3, 5]
[7, 3]
[7, 3]
[7]
[]
[6]
[6]
[8, 6]
[8, 6]
[8, 6]
6.3.2 Implementing a Deque with a Circular Array
We can implement the deque ADT in much the same way as the ArrayQueue class
provided in Code Fragments 6.6 and 6.7 of Section 6.2.2 (so much so that we leave
the details of an ArrayDeque implementation to Exercise P-6.32). We recommend
maintaining the same three instance variables: data, size, and front. Whenever
we need to know the index of the back of the deque, or the first available slot
beyond the back of the deque, we use modular arithmetic for the computation. For
example, our implementation of the last( ) method uses the index
back = (self. front + self. size − 1) % len(self. data)
Our implementation of the ArrayDeque.add last method is essentially the same
as that for ArrayQueue.enqueue, including the reliance on a resize utility. Likewise, the implementation of the ArrayDeque.delete first method is the same as
ArrayQueue.dequeue. Implementations of add first and delete last use similar
techniques. One subtlety is that a call to add first may need to wrap around the
beginning of the array, so we rely on modular arithmetic to circularly decrement
the index, as
self. front = (self. front − 1) % len(self. data)
# cyclic shift
The efficiency of an ArrayDeque is similar to that of an ArrayQueue, with all
operations having O(1) running time, but with that bound being amortized for operations that may change the size of the underlying list.
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6.3. Double-Ended Queues
249
6.3.3 Deques in the Python Collections Module
An implementation of a deque class is available in Python’s standard collections
module. A summary of the most commonly used behaviors of the collections.deque
class is given in Table 6.4. It uses more asymmetric nomenclature than our ADT.
Our Deque ADT
len(D)
D.add first( )
D.add last( )
D.delete first( )
D.delete last( )
D.first( )
D.last( )
collections.deque
len(D)
D.appendleft( )
D.append( )
D.popleft( )
D.pop( )
D[0]
D[−1]
D[j]
D[j] = val
D.clear( )
D.rotate(k)
D.remove(e)
D.count(e)
Description
number of elements
add to beginning
add to end
remove from beginning
remove from end
access first element
access last element
access arbitrary entry by index
modify arbitrary entry by index
clear all contents
circularly shift rightward k steps
remove first matching element
count number of matches for e
Table 6.4: Comparison of our deque ADT and the collections.deque class.
The collections.deque interface was chosen to be consistent with established
naming conventions of Python’s list class, for which append and pop are presumed
to act at the end of the list. Therefore, appendleft and popleft designate an operation at the beginning of the list. The library deque also mimics a list in that it is an
indexed sequence, allowing arbitrary access or modification using the D[j] syntax.
The library deque constructor also supports an optional maxlen parameter to
force a fixed-length deque. However, if a call to append at either end is invoked
when the deque is full, it does not throw an error; instead, it causes one element to
be dropped from the opposite side. That is, calling appendleft when the deque is
full causes an implicit pop from the right side to make room for the new element.
The current Python distribution implements collections.deque with a hybrid approach that uses aspects of circular arrays, but organized into blocks that are themselves organized in a doubly linked list (a data structure that we will introduce in
the next chapter). The deque class is formally documented to guarantee O(1)-time
operations at either end, but O(n)-time worst-case operations when using index
notation near the middle of the deque.
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250
6.4
Exercises
For help with exercises, please visit the site, www.wiley.com/college/goodrich.
Reinforcement
R-6.1 What values are returned during the following series of stack operations, if
executed upon an initially empty stack? push(5), push(3), pop(), push(2),
push(8), pop(), pop(), push(9), push(1), pop(), push(7), push(6), pop(),
pop(), push(4), pop(), pop().
R-6.2 Suppose an initially empty stack S has executed a total of 25 push operations, 12 top operations, and 10 pop operations, 3 of which raised Empty
errors that were caught and ignored. What is the current size of S?
R-6.3 Implement a function with signature transfer(S, T) that transfers all elements from stack S onto stack T, so that the element that starts at the top
of S is the first to be inserted onto T, and the element at the bottom of S
ends up at the top of T.
R-6.4 Give a recursive method for removing all the elements from a stack.
R-6.5 Implement a function that reverses a list of elements by pushing them onto
a stack in one order, and writing them back to the list in reversed order.
R-6.6 Give a precise and complete definition of the concept of matching for
grouping symbols in an arithmetic expression. Your definition may be
recursive.
R-6.7 What values are returned during the following sequence of queue operations, if executed on an initially empty queue? enqueue(5), enqueue(3),
dequeue(), enqueue(2), enqueue(8), dequeue(), dequeue(), enqueue(9),
enqueue(1), dequeue(), enqueue(7), enqueue(6), dequeue(), dequeue(),
enqueue(4), dequeue(), dequeue().
R-6.8 Suppose an initially empty queue Q has executed a total of 32 enqueue
operations, 10 first operations, and 15 dequeue operations, 5 of which
raised Empty errors that were caught and ignored. What is the current
size of Q?
R-6.9 Had the queue of the previous problem been an instance of ArrayQueue
that used an initial array of capacity 30, and had its size never been greater
than 30, what would be the final value of the front instance variable?
R-6.10 Consider what happens if the loop in the ArrayQueue. resize method at
lines 53–55 of Code Fragment 6.7 had been implemented as:
for k in range(self. size):
self. data[k] = old[k]
# rather than old[walk]
Give a clear explanation of what could go wrong.
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6.4. Exercises
251
R-6.11 Give a simple adapter that implements our queue ADT while using a
collections.deque instance for storage.
R-6.12 What values are returned during the following sequence of deque ADT operations, on initially empty deque? add first(4), add last(8), add last(9),
add first(5), back( ), delete first( ), delete last( ), add last(7), first( ),
last( ), add last(6), delete first( ), delete first( ).
R-6.13 Suppose you have a deque D containing the numbers (1, 2, 3, 4, 5, 6, 7, 8),
in this order. Suppose further that you have an initially empty queue Q.
Give a code fragment that uses only D and Q (and no other variables) and
results in D storing the elements in the order (1, 2, 3, 5, 4, 6, 7, 8).
R-6.14 Repeat the previous problem using the deque D and an initially empty
stack S.
Creativity
C-6.15 Suppose Alice has picked three distinct integers and placed them into a
stack S in random order. Write a short, straight-line piece of pseudo-code
(with no loops or recursion) that uses only one comparison and only one
variable x, yet that results in variable x storing the largest of Alice’s three
integers with probability 2/3. Argue why your method is correct.
C-6.16 Modify the ArrayStack implementation so that the stack’s capacity is limited to maxlen elements, where maxlen is an optional parameter to the
constructor (that defaults to None). If push is called when the stack is at
full capacity, throw a Full exception (defined similarly to Empty).
C-6.17 In the previous exercise, we assume that the underlying list is initially
empty. Redo that exercise, this time preallocating an underlying list with
length equal to the stack’s maximum capacity.
C-6.18 Show how to use the transfer function, described in Exercise R-6.3, and
two temporary stacks, to replace the contents of a given stack S with those
same elements, but in reversed order.
C-6.19 In Code Fragment 6.5 we assume that opening tags in HTML have form
<name>, as with <li>. More generally, HTML allows optional attributes
to be expressed as part of an opening tag. The general form used is
<name attribute1="value1" attribute2="value2">; for example,
a table can be given a border and additional padding by using an opening
tag of <table border="3" cellpadding="5">. Modify Code Fragment 6.5 so that it can properly match tags, even when an opening tag
may include one or more such attributes.
C-6.20 Describe a nonrecursive algorithm for enumerating all permutations of the
numbers {1, 2, . . . , n} using an explicit stack.
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Chapter 6. Stacks, Queues, and Deques
C-6.21 Show how to use a stack S and a queue Q to generate all possible subsets
of an n-element set T nonrecursively.
C-6.22 Postfix notation is an unambiguous way of writing an arithmetic expression without parentheses. It is defined so that if “(exp1 ) op (exp2 )” is a
normal, fully parenthesized expression whose operation is op, the postfix
version of this is “pexp1 pexp2 op”, where pexp1 is the postfix version of
exp1 and pexp2 is the postfix version of exp2 . The postfix version of a single number or variable is just that number or variable. For example, the
postfix version of “((5 + 2) ∗ (8 − 3))/4” is “5 2 + 8 3 − ∗ 4 /”. Describe
a nonrecursive way of evaluating an expression in postfix notation.
C-6.23 Suppose you have three nonempty stacks R, S, and T . Describe a sequence
of operations that results in S storing all elements originally in T below all
of S’s original elements, with both sets of those elements in their original
order. The final configuration for R should be the same as its original
configuration. For example, if R = [1, 2, 3], S = [4, 5], and T = [6, 7, 8, 9],
the final configuration should have R = [1, 2, 3] and S = [6, 7, 8, 9, 4, 5].
C-6.24 Describe how to implement the stack ADT using a single queue as an
instance variable, and only constant additional local memory within the
method bodies. What is the running time of the push(), pop(), and top()
methods for your design?
C-6.25 Describe how to implement the queue ADT using two stacks as instance
variables, such that all queue operations execute in amortized O(1) time.
Give a formal proof of the amortized bound.
C-6.26 Describe how to implement the double-ended queue ADT using two stacks
as instance variables. What are the running times of the methods?
C-6.27 Suppose you have a stack S containing n elements and a queue Q that is
initially empty. Describe how you can use Q to scan S to see if it contains a
certain element x, with the additional constraint that your algorithm must
return the elements back to S in their original order. You may only use S,
Q, and a constant number of other variables.
C-6.28 Modify the ArrayQueue implementation so that the queue’s capacity is
limited to maxlen elements, where maxlen is an optional parameter to the
constructor (that defaults to None). If enqueue is called when the queue
is at full capacity, throw a Full exception (defined similarly to Empty).
C-6.29 In certain applications of the queue ADT, it is common to repeatedly
dequeue an element, process it in some way, and then immediately enqueue the same element. Modify the ArrayQueue implementation to include a rotate( ) method that has semantics identical to the combination, Q.enqueue(Q.dequeue( )). However, your implementation should
be more efficient than making two separate calls (for example, because
there is no need to modify size).
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6.4. Exercises
253
C-6.30 Alice has two queues, Q and R, which can store integers. Bob gives Alice
50 odd integers and 50 even integers and insists that she store all 100
integers in Q and R. They then play a game where Bob picks Q or R
at random and then applies the round-robin scheduler, described in the
chapter, to the chosen queue a random number of times. If the last number
to be processed at the end of this game was odd, Bob wins. Otherwise,
Alice wins. How can Alice allocate integers to queues to optimize her
chances of winning? What is her chance of winning?
C-6.31 Suppose Bob has four cows that he wants to take across a bridge, but only
one yoke, which can hold up to two cows, side by side, tied to the yoke.
The yoke is too heavy for him to carry across the bridge, but he can tie
(and untie) cows to it in no time at all. Of his four cows, Mazie can cross
the bridge in 2 minutes, Daisy can cross it in 4 minutes, Crazy can cross
it in 10 minutes, and Lazy can cross it in 20 minutes. Of course, when
two cows are tied to the yoke, they must go at the speed of the slower cow.
Describe how Bob can get all his cows across the bridge in 34 minutes.
Projects
P-6.32 Give a complete ArrayDeque implementation of the double-ended queue
ADT as sketched in Section 6.3.2.
P-6.33 Give an array-based implementation of a double-ended queue supporting
all of the public behaviors shown in Table 6.4 for the collections.deque
class, including use of the maxlen optional parameter. When a lengthlimited deque is full, provide semantics similar to the collections.deque
class, whereby a call to insert an element on one end of a deque causes an
element to be lost from the opposite side.
P-6.34 Implement a program that can input an expression in postfix notation (see
Exercise C-6.22) and output its value.
P-6.35 The introduction of Section 6.1 notes that stacks are often used to provide
“undo” support in applications like a Web browser or text editor. While
support for undo can be implemented with an unbounded stack, many
applications provide only limited support for such an undo history, with a
fixed-capacity stack. When push is invoked with the stack at full capacity,
rather than throwing a Full exception (as described in Exercise C-6.16),
a more typical semantic is to accept the pushed element at the top while
“leaking” the oldest element from the bottom of the stack to make room.
Give an implementation of such a LeakyStack abstraction, using a circular
array with appropriate storage capacity. This class should have a public
interface similar to the bounded-capacity stack in Exercise C-6.16, but
with the desired leaky semantics when full.
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Chapter 6. Stacks, Queues, and Deques
254
P-6.36 When a share of common stock of some company is sold, the capital
gain (or, sometimes, loss) is the difference between the share’s selling
price and the price originally paid to buy it. This rule is easy to understand for a single share, but if we sell multiple shares of stock bought
over a long period of time, then we must identify the shares actually being sold. A standard accounting principle for identifying which shares of
a stock were sold in such a case is to use a FIFO protocol—the shares
sold are the ones that have been held the longest (indeed, this is the default method built into several personal finance software packages). For
example, suppose we buy 100 shares at $20 each on day 1, 20 shares at
$24 on day 2, 200 shares at $36 on day 3, and then sell 150 shares on day
4 at $30 each. Then applying the FIFO protocol means that of the 150
shares sold, 100 were bought on day 1, 20 were bought on day 2, and 30
were bought on day 3. The capital gain in this case would therefore be
100 · 10 + 20 · 6 + 30 · (−6), or $940. Write a program that takes as input
a sequence of transactions of the form “buy x share(s) at y each”
or “sell x share(s) at y each,” assuming that the transactions occur on consecutive days and the values x and y are integers. Given this
input sequence, the output should be the total capital gain (or loss) for the
entire sequence, using the FIFO protocol to identify shares.
P-6.37 Design an ADT for a two-color, double-stack ADT that consists of two
stacks—one “red” and one “blue”—and has as its operations color-coded
versions of the regular stack ADT operations. For example, this ADT
should support both a red push operation and a blue push operation. Give
an efficient implementation of this ADT using a single array whose capacity is set at some value N that is assumed to always be larger than the
sizes of the red and blue stacks combined.
Chapter Notes
We were introduced to the approach of defining data structures first in terms of their ADTs
and then in terms of concrete implementations by the classic books by Aho, Hopcroft, and
Ullman [5, 6]. Exercises C-6.30, and C-6.31 are similar to interview questions said to be
from a well-known software company. For further study of abstract data types, see Liskov
and Guttag [71], Cardelli and Wegner [23], or Demurjian [33].
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Chapter
7
Linked Lists
Contents
7.1
7.2
7.3
7.4
7.5
7.6
7.7
7.8
Singly Linked Lists . . . . . . . . . . . . . . . . . . . . . . .
7.1.1 Implementing a Stack with a Singly Linked List . . . . . .
7.1.2 Implementing a Queue with a Singly Linked List . . . . . .
Circularly Linked Lists . . . . . . . . . . . . . . . . . . . . .
7.2.1 Round-Robin Schedulers . . . . . . . . . . . . . . . . . .
7.2.2 Implementing a Queue with a Circularly Linked List . . . .
Doubly Linked Lists . . . . . . . . . . . . . . . . . . . . . .
7.3.1 Basic Implementation of a Doubly Linked List . . . . . . .
7.3.2 Implementing a Deque with a Doubly Linked List . . . . .
The Positional List ADT . . . . . . . . . . . . . . . . . . .
7.4.1 The Positional List Abstract Data Type . . . . . . . . . .
7.4.2 Doubly Linked List Implementation . . . . . . . . . . . . .
Sorting a Positional List . . . . . . . . . . . . . . . . . . . .
Case Study: Maintaining Access Frequencies . . . . . . . .
7.6.1 Using a Sorted List . . . . . . . . . . . . . . . . . . . . .
7.6.2 Using a List with the Move-to-Front Heuristic . . . . . . .
Link-Based vs. Array-Based Sequences . . . . . . . . . . .
Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . .
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261
264
266
267
268
270
273
275
277
279
281
285
286
286
289
292
294
Chapter 7. Linked Lists
256
In Chapter 5 we carefully examined Python’s array-based list class, and in
Chapter 6 we demonstrated use of that class in implementing the classic stack,
queue, and dequeue ADTs. Python’s list class is highly optimized, and often a
great choice for storage. With that said, there are some notable disadvantages:
1. The length of a dynamic array might be longer than the actual number of
elements that it stores.
2. Amortized bounds for operations may be unacceptable in real-time systems.
3. Insertions and deletions at interior positions of an array are expensive.
In this chapter, we introduce a data structure known as a linked list, which
provides an alternative to an array-based sequence (such as a Python list). Both
array-based sequences and linked lists keep elements in a certain order, but using a very different style. An array provides the more centralized representation,
with one large chunk of memory capable of accommodating references to many
elements. A linked list, in contrast, relies on a more distributed representation in
which a lightweight object, known as a node, is allocated for each element. Each
node maintains a reference to its element and one or more references to neighboring
nodes in order to collectively represent the linear order of the sequence.
We will demonstrate a trade-off of advantages and disadvantages when contrasting array-based sequences and linked lists. Elements of a linked list cannot be
efficiently accessed by a numeric index k, and we cannot tell just by examining a
node if it is the second, fifth, or twentieth node in the list. However, linked lists
avoid the three disadvantages noted above for array-based sequences.
7.1
Singly Linked Lists
A singly linked list, in its simplest form, is a collection of nodes that collectively
form a linear sequence. Each node stores a reference to an object that is an element
of the sequence, as well as a reference to the next node of the list (see Figures 7.1
and 7.2).
MSP
element next
Figure 7.1: Example of a node instance that forms part of a singly linked list. The
node’s element member references an arbitrary object that is an element of the sequence (the airport code MSP, in this example), while the next member references
the subsequent node of the linked list (or None if there is no further node).
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7.1. Singly Linked Lists
LAX
257
MSP
ATL
head
BOS
tail
Figure 7.2: Example of a singly linked list whose elements are strings indicating
airport codes. The list instance maintains a member named head that identifies
the first node of the list, and in some applications another member named tail that
identifies the last node of the list. The None object is denoted as Ø.
The first and last node of a linked list are known as the head and tail of the
list, respectively. By starting at the head, and moving from one node to another
by following each node’s next reference, we can reach the tail of the list. We can
identify the tail as the node having None as its next reference. This process is
commonly known as traversing the linked list. Because the next reference of a
node can be viewed as a link or pointer to another node, the process of traversing
a list is also known as link hopping or pointer hopping.
A linked list’s representation in memory relies on the collaboration of many
objects. Each node is represented as a unique object, with that instance storing a
reference to its element and a reference to the next node (or None). Another object
represents the linked list as a whole. Minimally, the linked list instance must keep
a reference to the head of the list. Without an explicit reference to the head, there
would be no way to locate that node (or indirectly, any others). There is not an
absolute need to store a direct reference to the tail of the list, as it could otherwise
be located by starting at the head and traversing the rest of the list. However,
storing an explicit reference to the tail node is a common convenience to avoid
such a traversal. In similar regard, it is common for the linked list instance to keep
a count of the total number of nodes that comprise the list (commonly described as
the size of the list), to avoid the need to traverse the list to count the nodes.
For the remainder of this chapter, we continue to illustrate nodes as objects,
and each node’s “next” reference as a pointer. However, for the sake of simplicity,
we illustrate a node’s element embedded directly within the node structure, even
though the element is, in fact, an independent object. For example, Figure 7.3 is a
more compact illustration of the linked list from Figure 7.2.
LAX
MSP
ATL
head
BOS
tail
Figure 7.3: A compact illustration of a singly linked list, with elements embedded
in the nodes (rather than more accurately drawn as references to external objects).
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Chapter 7. Linked Lists
258
Inserting an Element at the Head of a Singly Linked List
An important property of a linked list is that it does not have a predetermined fixed
size; it uses space proportionally to its current number of elements. When using a
singly linked list, we can easily insert an element at the head of the list, as shown in
Figure 7.4, and described with pseudo-code in Code Fragment 7.1. The main idea
is that we create a new node, set its element to the new element, set its next link to
refer to the current head, and then set the list’s head to point to the new node.
head
MSP
ATL
BOS
(a)
newest
head
LAX
MSP
ATL
BOS
(b)
newest
LAX
head
MSP
ATL
BOS
(c)
Figure 7.4: Insertion of an element at the head of a singly linked list: (a) before
the insertion; (b) after creation of a new node; (c) after reassignment of the head
reference.
Algorithm add first(L, e):
newest = Node(e) {create new node instance storing reference to element e}
newest.next = L.head {set new node’s next to reference the old head node}
L.head = newest
{set variable head to reference the new node}
L.size = L.size + 1
{increment the node count}
Code Fragment 7.1: Inserting a new element at the beginning of a singly linked
list L. Note that we set the next pointer of the new node before we reassign variable
L.head to it. If the list were initially empty (i.e., L.head is None), then a natural
consequence is that the new node has its next reference set to None.
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7.1. Singly Linked Lists
259
Inserting an Element at the Tail of a Singly Linked List
We can also easily insert an element at the tail of the list, provided we keep a
reference to the tail node, as shown in Figure 7.5. In this case, we create a new
node, assign its next reference to None, set the next reference of the tail to point to
this new node, and then update the tail reference itself to this new node. We give
the details in Code Fragment 7.2.
tail
MSP
ATL
BOS
(a)
tail
MSP
ATL
newest
BOS
MIA
(b)
tail
MSP
ATL
BOS
newest
MIA
(c)
Figure 7.5: Insertion at the tail of a singly linked list: (a) before the insertion;
(b) after creation of a new node; (c) after reassignment of the tail reference. Note
that we must set the next link of the tail in (b) before we assign the tail variable to
point to the new node in (c).
Algorithm add last(L, e):
newest = Node(e) {create new node instance storing reference to element e}
newest.next = None
{set new node’s next to reference the None object}
L.tail.next = newest
{make old tail node point to new node}
L.tail = newest
{set variable tail to reference the new node}
L.size = L.size + 1
{increment the node count}
Code Fragment 7.2: Inserting a new node at the end of a singly linked list. Note
that we set the next pointer for the old tail node before we make variable tail point
to the new node. This code would need to be adjusted for inserting onto an empty
list, since there would not be an existing tail node.
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Chapter 7. Linked Lists
260
Removing an Element from a Singly Linked List
Removing an element from the head of a singly linked list is essentially the reverse
operation of inserting a new element at the head. This operation is illustrated in
Figure 7.6 and given in detail in Code Fragment 7.3.
head
LAX
MSP
ATL
BOS
(a)
head
LAX
MSP
ATL
BOS
(b)
head
MSP
ATL
BOS
(c)
Figure 7.6: Removal of an element at the head of a singly linked list: (a) before the
removal; (b) after “linking out” the old head; (c) final configuration.
Algorithm remove first(L):
if L.head is None then
Indicate an error: the list is empty.
L.head = L.head.next
{make head point to next node (or None)}
L.size = L.size − 1
{decrement the node count}
Code Fragment 7.3: Removing the node at the beginning of a singly linked list.
Unfortunately, we cannot easily delete the last node of a singly linked list. Even
if we maintain a tail reference directly to the last node of the list, we must be able
to access the node before the last node in order to remove the last node. But we
cannot reach the node before the tail by following next links from the tail. The only
way to access this node is to start from the head of the list and search all the way
through the list. But such a sequence of link-hopping operations could take a long
time. If we want to support such an operation efficiently, we will need to make our
list doubly linked (as we do in Section 7.3).
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7.1. Singly Linked Lists
261
7.1.1 Implementing a Stack with a Singly Linked List
In this section, we demonstrate use of a singly linked list by providing a complete
Python implementation of the stack ADT (see Section 6.1). In designing such an
implementation, we need to decide whether to model the top of the stack at the head
or at the tail of the list. There is clearly a best choice here; we can efficiently insert
and delete elements in constant time only at the head. Since all stack operations
affect the top, we orient the top of the stack at the head of our list.
To represent individual nodes of the list, we develop a lightweight Node class.
This class will never be directly exposed to the user of our stack class, so we will
formally define it as a nonpublic, nested class of our eventual LinkedStack class
(see Section 2.5.1 for discussion of nested classes). The definition of the Node
class is shown in Code Fragment 7.4.
class Node:
”””Lightweight, nonpublic class for storing a singly linked node.”””
slots = _element , _next
# streamline memory usage
def init (self, element, next):
self. element = element
self. next = next
# initialize node’s fields
# reference to user’s element
# reference to next node
Code Fragment 7.4: A lightweight Node class for a singly linked list.
A node has only two instance variables: element and next. We intentionally
define slots to streamline the memory usage (see page 99 of Section 2.5.1 for
discussion), because there may potentially be many node instances in a single list.
The constructor of the Node class is designed for our convenience, allowing us to
specify initial values for both fields of a newly created node.
A complete implementation of our LinkedStack class is given in Code Fragments 7.5 and 7.6. Each stack instance maintains two variables. The head member is a reference to the node at the head of the list (or None, if the stack is empty).
We keep track of the current number of elements with the size instance variable,
for otherwise we would be forced to traverse the entire list to count the number of
elements when reporting the size of the stack.
The implementation of push essentially mirrors the pseudo-code for insertion
at the head of a singly linked list as outlined in Code Fragment 7.1. When we push
a new element e onto the stack, we accomplish the necessary changes to the linked
structure by invoking the constructor of the Node class as follows:
self. head = self. Node(e, self. head)
# create and link a new node
Note that the next field of the new node is set to the existing top node, and then
self. head is reassigned to the new node.
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Chapter 7. Linked Lists
262
1 class LinkedStack:
2
”””LIFO Stack implementation using a singly linked list for storage.”””
3
4
#-------------------------- nested Node class -------------------------5
class Node:
6
”””Lightweight, nonpublic class for storing a singly linked node.”””
slots = _element , _next
# streamline memory usage
7
8
# initialize node’s fields
9
def init (self, element, next):
# reference to user’s element
10
self. element = element
# reference to next node
11
self. next = next
12
13
#------------------------------- stack methods ------------------------------14
def init (self):
15
”””Create an empty stack.”””
# reference to the head node
16
self. head = None
# number of stack elements
17
self. size = 0
18
19
def len (self):
20
”””Return the number of elements in the stack.”””
21
return self. size
22
23
def is empty(self):
24
”””Return True if the stack is empty.”””
25
return self. size == 0
26
27
def push(self, e):
28
”””Add element e to the top of the stack.”””
# create and link a new node
29
self. head = self. Node(e, self. head)
30
self. size += 1
31
32
def top(self):
33
”””Return (but do not remove) the element at the top of the stack.
34
35
Raise Empty exception if the stack is empty.
36
”””
37
if self.is empty( ):
38
raise Empty( Stack is empty )
# top of stack is at head of list
39
return self. head. element
Code Fragment 7.5: Implementation of a stack ADT using a singly linked list (continued in Code Fragment 7.6).
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7.1. Singly Linked Lists
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41
42
43
44
45
46
47
48
49
50
263
def pop(self):
”””Remove and return the element from the top of the stack (i.e., LIFO).
Raise Empty exception if the stack is empty.
”””
if self.is empty( ):
raise Empty( Stack is empty )
answer = self. head. element
# bypass the former top node
self. head = self. head. next
self. size −= 1
return answer
Code Fragment 7.6: Implementation of a stack ADT using a singly linked list (continued from Code Fragment 7.5).
When implementing the top method, the goal is to return the element that is
at the top of the stack. When the stack is empty, we raise an Empty exception, as
originally defined in Code Fragment 6.1 of Chapter 6. When the stack is nonempty,
self. head is a reference to the first node of the linked list. The top element can be
identified as self. head. element.
Our implementation of pop essentially mirrors the pseudo-code given in Code
Fragment 7.3, except that we maintain a local reference to the element that is stored
at the node that is being removed, and we return that element to the caller of pop.
The analysis of our LinkedStack operations is given in Table 7.1. We see that
all of the methods complete in worst-case constant time. This is in contrast to the
amortized bounds for the ArrayStack that were given in Table 6.2.
Operation
S.push(e)
S.pop( )
S.top( )
len(S)
S.is empty( )
Running Time
O(1)
O(1)
O(1)
O(1)
O(1)
Table 7.1: Performance of our LinkedStack implementation. All bounds are worstcase and our space usage is O(n), where n is the current number of elements in the
stack.
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264
7.1.2 Implementing a Queue with a Singly Linked List
As we did for the stack ADT, we can use a singly linked list to implement the
queue ADT while supporting worst-case O(1)-time for all operations. Because we
need to perform operations on both ends of the queue, we will explicitly maintain
both a head reference and a tail reference as instance variables for each queue.
The natural orientation for a queue is to align the front of the queue with the head of
the list, and the back of the queue with the tail of the list, because we must be able
to enqueue elements at the back, and dequeue them from the front. (Recall from
the introduction of Section 7.1 that we are unable to efficiently remove elements
from the tail of a singly linked list.) Our implementation of a LinkedQueue class is
given in Code Fragments 7.7 and 7.8.
1 class LinkedQueue:
2
”””FIFO queue implementation using a singly linked list for storage.”””
3
4
class Node:
5
”””Lightweight, nonpublic class for storing a singly linked node.”””
6
(omitted here; identical to that of LinkedStack. Node)
7
8
def init (self):
9
”””Create an empty queue.”””
10
self. head = None
11
self. tail = None
# number of queue elements
12
self. size = 0
13
14
def len (self):
15
”””Return the number of elements in the queue.”””
16
return self. size
17
18
def is empty(self):
19
”””Return True if the queue is empty.”””
20
return self. size == 0
21
22
def first(self):
23
”””Return (but do not remove) the element at the front of the queue.”””
24
if self.is empty( ):
25
raise Empty( Queue is empty )
# front aligned with head of list
26
return self. head. element
Code Fragment 7.7: Implementation of a queue ADT using a singly linked list
(continued in Code Fragment 7.8).
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7.1. Singly Linked Lists
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34
35
36
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def dequeue(self):
”””Remove and return the first element of the queue (i.e., FIFO).
Raise Empty exception if the queue is empty.
”””
if self.is empty( ):
raise Empty( Queue is empty )
answer = self. head. element
self. head = self. head. next
self. size −= 1
# special case as queue is empty
if self.is empty( ):
# removed head had been the tail
self. tail = None
return answer
def enqueue(self, e):
”””Add an element to the back of queue.”””
# node will be new tail node
newest = self. Node(e, None)
if self.is empty( ):
# special case: previously empty
self. head = newest
else:
self. tail. next = newest
# update reference to tail node
self. tail = newest
self. size += 1
Code Fragment 7.8: Implementation of a queue ADT using a singly linked list
(continued from Code Fragment 7.7).
Many aspects of our implementation are similar to that of the LinkedStack
class, such as the definition of the nested Node class. Our implementation of
dequeue for LinkedQueue is similar to that of pop for LinkedStack, as both remove
the head of the linked list. However, there is a subtle difference because our queue
must accurately maintain the tail reference (no such variable was maintained for
our stack). In general, an operation at the head has no effect on the tail, but when
dequeue is invoked on a queue with one element, we are simultaneously removing
the tail of the list. We therefore set self. tail to None for consistency.
There is a similar complication in our implementation of enqueue. The newest
node always becomes the new tail. Yet a distinction is made depending on whether
that new node is the only node in the list. In that case, it also becomes the new head;
otherwise the new node must be linked immediately after the existing tail node.
In terms of performance, the LinkedQueue is similar to the LinkedStack in that
all operations run in worst-case constant time, and the space usage is linear in the
current number of elements.
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7.2
Circularly Linked Lists
In Section 6.2.2, we introduced the notion of a “circular” array and demonstrated
its use in implementing the queue ADT. In reality, the notion of a circular array was
artificial, in that there was nothing about the representation of the array itself that
was circular in structure. It was our use of modular arithmetic when “advancing”
an index from the last slot to the first slot that provided such an abstraction.
In the case of linked lists, there is a more tangible notion of a circularly linked
list, as we can have the tail of the list use its next reference to point back to the head
of the list, as shown in Figure 7.7. We call such a structure a circularly linked list.
LAX
MSP
ATL
head
BOS
tail
Figure 7.7: Example of a singly linked list with circular structure.
A circularly linked list provides a more general model than a standard linked
list for data sets that are cyclic, that is, which do not have any particular notion of a
beginning and end. Figure 7.8 provides a more symmetric illustration of the same
circular list structure as Figure 7.7.
LAX
MSP
BOS
current
ATL
Figure 7.8: Example of a circular linked list, with current denoting a reference to a
select node.
A circular view similar to Figure 7.8 could be used, for example, to describe
the order of train stops in the Chicago loop, or the order in which players take turns
during a game. Even though a circularly linked list has no beginning or end, per
se, we must maintain a reference to a particular node in order to make use of the
list. We use the identifier current to describe such a designated node. By setting
current = current.next, we can effectively advance through the nodes of the list.
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267
7.2.1 Round-Robin Schedulers
To motivate the use of a circularly linked list, we consider a round-robin scheduler,
which iterates through a collection of elements in a circular fashion and “services”
each element by performing a given action on it. Such a scheduler is used, for
example, to fairly allocate a resource that must be shared by a collection of clients.
For instance, round-robin scheduling is often used to allocate slices of CPU time to
various applications running concurrently on a computer.
A round-robin scheduler could be implemented with the general queue ADT,
by repeatedly performing the following steps on queue Q (see Figure 7.9):
1. e = Q.dequeue()
2. Service element e
3. Q.enqueue(e)
The Queue
1. Deque the
next element
2. Service the
next element
3. Enqueue the
serviced element
Shared
Service
Figure 7.9: The three iterative steps for round-robin scheduling using a queue.
If we use of the LinkedQueue class of Section 7.1.2 for such an application,
there is unnecessary effort in the combination of a dequeue operation followed soon
after by an enqueue of the same element. One node is removed from the list, with
appropriate adjustments to the head of the list and the size decremented, and then a
new node is created to reinsert at the tail of the list and the size is incremented.
If using a circularly linked list, the effective transfer of an item from the “head”
of the list to the “tail” of the list can be accomplished by advancing a reference
that marks the boundary of the queue. We will next provide an implementation
of a CircularQueue class that supports the entire queue ADT, together with an additional method, rotate( ), that moves the first element of the queue to the back.
(A similar method is supported by the deque class of Python’s collections module;
see Table 6.4.) With this operation, a round-robin schedule can more efficiently be
implemented by repeatedly performing the following steps:
1. Service element Q.front()
2. Q.rotate()
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7.2.2 Implementing a Queue with a Circularly Linked List
To implement the queue ADT using a circularly linked list, we rely on the intuition
of Figure 7.7, in which the queue has a head and a tail, but with the next reference of
the tail linked to the head. Given such a model, there is no need for us to explicitly
store references to both the head and the tail; as long as we keep a reference to the
tail, we can always find the head by following the tail’s next reference.
Code Fragments 7.9 and 7.10 provide an implementation of a CircularQueue
class based on this model. The only two instance variables are tail, which is a
reference to the tail node (or None when empty), and size, which is the current
number of elements in the queue. When an operation involves the front of the
queue, we recognize self. tail. next as the head of the queue. When enqueue is
called, a new node is placed just after the tail but before the current head, and then
the new node becomes the tail.
In addition to the traditional queue operations, the CircularQueue class supports
a rotate method that more efficiently enacts the combination of removing the front
element and reinserting it at the back of the queue. With the circular representation,
we simply set self. tail = self. tail. next to make the old head become the new tail
(with the node after the old head becoming the new head).
1 class CircularQueue:
2
”””Queue implementation using circularly linked list for storage.”””
3
4
class Node:
5
”””Lightweight, nonpublic class for storing a singly linked node.”””
6
(omitted here; identical to that of LinkedStack. Node)
7
8
def init (self):
9
”””Create an empty queue.”””
# will represent tail of queue
10
self. tail = None
# number of queue elements
11
self. size = 0
12
13
def len (self):
14
”””Return the number of elements in the queue.”””
15
return self. size
16
17
def is empty(self):
18
”””Return True if the queue is empty.”””
19
return self. size == 0
Code Fragment 7.9: Implementation of a CircularQueue class, using a circularly
linked list as storage (continued in Code Fragment 7.10).
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7.2. Circularly Linked Lists
20
21
22
23
24
25
26
27
28
29
30
31
32
33
34
35
36
37
38
39
40
41
42
43
44
45
46
47
48
49
50
51
52
53
54
55
56
57
58
59
269
def first(self):
”””Return (but do not remove) the element at the front of the queue.
Raise Empty exception if the queue is empty.
”””
if self.is empty( ):
raise Empty( Queue is empty )
head = self. tail. next
return head. element
def dequeue(self):
”””Remove and return the first element of the queue (i.e., FIFO).
Raise Empty exception if the queue is empty.
”””
if self.is empty( ):
raise Empty( Queue is empty )
oldhead = self. tail. next
# removing only element
if self. size == 1:
# queue becomes empty
self. tail = None
else:
# bypass the old head
self. tail. next = oldhead. next
self. size −= 1
return oldhead. element
def enqueue(self, e):
”””Add an element to the back of queue.”””
# node will be new tail node
newest = self. Node(e, None)
if self.is empty( ):
# initialize circularly
newest. next = newest
else:
# new node points to head
newest. next = self. tail. next
# old tail points to new node
self. tail. next = newest
# new node becomes the tail
self. tail = newest
self. size += 1
def rotate(self):
”””Rotate front element to the back of the queue.”””
if self. size > 0:
self. tail = self. tail. next
# old head becomes new tail
Code Fragment 7.10: Implementation of a CircularQueue class, using a circularly
linked list as storage (continued from Code Fragment 7.9).
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Chapter 7. Linked Lists
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7.3
Doubly Linked Lists
In a singly linked list, each node maintains a reference to the node that is immediately after it. We have demonstrated the usefulness of such a representation when
managing a sequence of elements. However, there are limitations that stem from
the asymmetry of a singly linked list. In the opening of Section 7.1, we emphasized that we can efficiently insert a node at either end of a singly linked list, and
can delete a node at the head of a list, but we are unable to efficiently delete a node
at the tail of the list. More generally, we cannot efficiently delete an arbitrary node
from an interior position of the list if only given a reference to that node, because
we cannot determine the node that immediately precedes the node to be deleted
(yet, that node needs to have its next reference updated).
To provide greater symmetry, we define a linked list in which each node keeps
an explicit reference to the node before it and a reference to the node after it. Such
a structure is known as a doubly linked list. These lists allow a greater variety of
O(1)-time update operations, including insertions and deletions at arbitrary positions within the list. We continue to use the term “next” for the reference to the
node that follows another, and we introduce the term “prev” for the reference to the
node that precedes it.
Header and Trailer Sentinels
In order to avoid some special cases when operating near the boundaries of a doubly
linked list, it helps to add special nodes at both ends of the list: a header node at the
beginning of the list, and a trailer node at the end of the list. These “dummy” nodes
are known as sentinels (or guards), and they do not store elements of the primary
sequence. A doubly linked list with such sentinels is shown in Figure 7.10.
header
next
next
JFK
prev
next
PVD
prev
next
trailer
SFO
prev
prev
Figure 7.10: A doubly linked list representing the sequence { JFK, PVD, SFO },
using sentinels header and trailer to demarcate the ends of the list.
When using sentinel nodes, an empty list is initialized so that the next field of
the header points to the trailer, and the prev field of the trailer points to the header;
the remaining fields of the sentinels are irrelevant (presumably None, in Python).
For a nonempty list, the header’s next will refer to a node containing the first real
element of a sequence, just as the trailer’s prev references the node containing the
last element of a sequence.
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7.3. Doubly Linked Lists
271
Advantage of Using Sentinels
Although we could implement a doubly linked list without sentinel nodes (as we
did with our singly linked list in Section 7.1), the slight extra space devoted to the
sentinels greatly simplifies the logic of our operations. Most notably, the header and
trailer nodes never change—only the nodes between them change. Furthermore,
we can treat all insertions in a unified manner, because a new node will always be
placed between a pair of existing nodes. In similar fashion, every element that is to
be deleted is guaranteed to be stored in a node that has neighbors on each side.
For contrast, look back at our LinkedQueue implementation from Section 7.1.2.
Its enqueue method, given in Code Fragment 7.8, adds a new node to the end of
the list. However, its implementation required a conditional to manage the special
case of inserting into an empty list. In the general case, the new node was linked
after the existing tail. But when adding to an empty list, there is no existing tail;
instead it is necessary to reassign self. head to reference the new node. The use of
a sentinel node in that implementation would eliminate the special case, as there
would always be an existing node (possibly the header) before a new node.
Inserting and Deleting with a Doubly Linked List
Every insertion into our doubly linked list representation will take place between
a pair of existing nodes, as diagrammed in Figure 7.11. For example, when a new
element is inserted at the front of the sequence, we will simply add the new node
between the header and the node that is currently after the header. (See Figure 7.12.)
header
trailer
BWI
JFK
SFO
(a)
header
trailer
BWI
JFK
PVD
SFO
PVD
SFO
(b)
header
trailer
BWI
JFK
(c)
Figure 7.11: Adding an element to a doubly linked list with header and trailer sentinels: (a) before the operation; (b) after creating the new node; (c) after linking the
neighbors to the new node.
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Chapter 7. Linked Lists
272
header
trailer
BWI
JFK
SFO
(a)
header
trailer
PVD
BWI
JFK
SFO
(b)
header
trailer
PVD
BWI
JFK
SFO
(c)
Figure 7.12: Adding an element to the front of a sequence represented by a doubly linked list with header and trailer sentinels: (a) before the operation; (b) after
creating the new node; (c) after linking the neighbors to the new node.
The deletion of a node, portrayed in Figure 7.13, proceeds in the opposite fashion of an insertion. The two neighbors of the node to be deleted are linked directly
to each other, thereby bypassing the original node. As a result, that node will no
longer be considered part of the list and it can be reclaimed by the system. Because
of our use of sentinels, the same implementation can be used when deleting the first
or the last element of a sequence, because even such an element will be stored at a
node that lies between two others.
header
trailer
BWI
JFK
PVD
SFO
(a)
header
trailer
BWI
JFK
PVD
SFO
(b)
header
trailer
BWI
JFK
SFO
(c)
Figure 7.13: Removing the element PVD from a doubly linked list: (a) before
the removal; (b) after linking out the old node; (c) after the removal (and garbage
collection).
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7.3. Doubly Linked Lists
273
7.3.1 Basic Implementation of a Doubly Linked List
We begin by providing a preliminary implementation of a doubly linked list, in the
form of a class named DoublyLinkedBase. We intentionally name the class with
a leading underscore because we do not intend for it to provide a coherent public
interface for general use. We will see that linked lists can support general insertions
and deletions in O(1) worst-case time, but only if the location of an operation
can be succinctly identified. With array-based sequences, an integer index was a
convenient means for describing a position within a sequence. However, an index
is not convenient for linked lists as there is no efficient way to find the jth element;
it would seem to require a traversal of a portion of the list.
When working with a linked list, the most direct way to describe the location
of an operation is by identifying a relevant node of the list. However, we prefer
to encapsulate the inner workings of our data structure to avoid having users directly access nodes of a list. In the remainder of this chapter, we will develop
two public classes that inherit from our DoublyLinkedBase class to provide more
coherent abstractions. Specifically, in Section 7.3.2, we provide a LinkedDeque
class that implements the double-ended queue ADT introduced in Section 6.3; that
class only supports operations at the ends of the queue, so there is no need for a
user to identify an interior position within the list. In Section 7.4, we introduce a
new PositionalList abstraction that provides a public interface that allows arbitrary
insertions and deletions from a list.
Our low-level DoublyLinkedBase class relies on the use of a nonpublic Node
class that is similar to that for a singly linked list, as given in Code Fragment 7.4,
except that the doubly linked version includes a prev attribute, in addition to the
next and element attributes, as shown in Code Fragment 7.11.
class Node:
”””Lightweight, nonpublic class for storing a doubly linked node.”””
slots = _element , _prev , _next # streamline memory
def init (self, element, prev, next):
self. element = element
self. prev = prev
self. next = next
#
#
#
#
initialize node’s fields
user’s element
previous node reference
next node reference
Code Fragment 7.11: A Python Node class for use in a doubly linked list.
The remainder of our DoublyLinkedBase class is given in Code Fragment 7.12.
The constructor instantiates the two sentinel nodes and links them directly to each
other. We maintain a size member and provide public support for len and
is empty so that these behaviors can be directly inherited by the subclasses.
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Chapter 7. Linked Lists
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1 class DoublyLinkedBase:
2
”””A base class providing a doubly linked list representation.”””
3
4
class Node:
5
”””Lightweight, nonpublic class for storing a doubly linked node.”””
6
(omitted here; see previous code fragment)
7
8
def init (self):
9
”””Create an empty list.”””
10
self. header = self. Node(None, None, None)
11
self. trailer = self. Node(None, None, None)
# trailer is after header
12
self. header. next = self. trailer
# header is before trailer
13
self. trailer. prev = self. header
14
self. size = 0
# number of elements
15
16
def len (self):
17
”””Return the number of elements in the list.”””
18
return self. size
19
20
def is empty(self):
21
”””Return True if list is empty.”””
22
return self. size == 0
23
24
def insert between(self, e, predecessor, successor):
25
”””Add element e between two existing nodes and return new node.”””
26
newest = self. Node(e, predecessor, successor) # linked to neighbors
27
predecessor. next = newest
28
successor. prev = newest
29
self. size += 1
30
return newest
31
32
def delete node(self, node):
33
”””Delete nonsentinel node from the list and return its element.”””
34
predecessor = node. prev
35
successor = node. next
36
predecessor. next = successor
37
successor. prev = predecessor
38
self. size −= 1
# record deleted element
39
element = node. element
40
node. prev = node. next = node. element = None
# deprecate node
41
return element
# return deleted element
Code Fragment 7.12: A base class for managing a doubly linked list.
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7.3. Doubly Linked Lists
275
The other two methods of our class are the nonpublic utilities, insert between
and delete node. These provide generic support for insertions and deletions, respectively, but require one or more node references as parameters. The implementation of the insert between method is modeled upon the algorithm that was previously portrayed in Figure 7.11. It creates a new node, with that node’s fields initialized to link to the specified neighboring nodes. Then the fields of the neighboring
nodes are updated to include the newest node in the list. For later convenience, the
method returns a reference to the newly created node.
The implementation of the delete node method is modeled upon the algorithm
portrayed in Figure 7.13. The neighbors of the node to be deleted are linked directly
to each other, thereby bypassing the deleted node from the list. As a formality,
we intentionally reset the prev, next, and element fields of the deleted node to
None (after recording the element to be returned). Although the deleted node will
be ignored by the rest of the list, setting its fields to None is advantageous as it
may help Python’s garbage collection, since unnecessary links to the other nodes
and the stored element are eliminated. We will also rely on this configuration to
recognize a node as “deprecated” when it is no longer part of the list.
7.3.2 Implementing a Deque with a Doubly Linked List
The double-ended queue (deque) ADT was introduced in Section 6.3. With an
array-based implementation, we achieve all operations in amortized O(1) time, due
to the occasional need to resize the array. With an implementation based upon a
doubly linked list, we can achieve all deque operation in worst-case O(1) time.
We provide an implementation of a LinkedDeque class (Code Fragment 7.13)
that inherits from the DoublyLinkedBase class of the preceding section. We do
not provide an explicit init method for the LinkedDeque class, as the inherited
version of that method suffices to initialize a new instance. We also rely on the
inherited methods len and is empty in meeting the deque ADT.
With the use of sentinels, the key to our implementation is to remember that
the header does not store the first element of the deque—it is the node just after the
header that stores the first element (assuming the deque is nonempty). Similarly,
the node just before the trailer stores the last element of the deque.
We use the inherited insert between method to insert at either end of the
deque. To insert an element at the front of the deque, we place it immediately
between the header and the node just after the header. An insertion at the end of
deque is placed immediately before the trailer node. Note that these operations
succeed, even when the deque is empty; in such a situation, the new node is placed
between the two sentinels. When deleting an element from a nonempty deque, we
rely upon the inherited delete node method, knowing that the designated node is
assured to have neighbors on each side.
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1 class LinkedDeque( DoublyLinkedBase):
# note the use of inheritance
2
”””Double-ended queue implementation based on a doubly linked list.”””
3
4
def first(self):
5
”””Return (but do not remove) the element at the front of the deque.”””
6
if self.is empty( ):
7
raise Empty("Deque is empty")
# real item just after header
8
return self. header. next. element
9
10
def last(self):
11
”””Return (but do not remove) the element at the back of the deque.”””
12
if self.is empty( ):
13
raise Empty("Deque is empty")
14
return self. trailer. prev. element
# real item just before trailer
15
16
def insert first(self, e):
17
”””Add an element to the front of the deque.”””
18
self. insert between(e, self. header, self. header. next) # after header
19
20
def insert last(self, e):
21
”””Add an element to the back of the deque.”””
# before trailer
22
self. insert between(e, self. trailer. prev, self. trailer)
23
24
def delete first(self):
25
”””Remove and return the element from the front of the deque.
26
27
Raise Empty exception if the deque is empty.
28
”””
29
if self.is empty( ):
30
raise Empty("Deque is empty")
# use inherited method
31
return self. delete node(self. header. next)
32
33
def delete last(self):
34
”””Remove and return the element from the back of the deque.
35
36
Raise Empty exception if the deque is empty.
37
”””
38
if self.is empty( ):
39
raise Empty("Deque is empty")
# use inherited method
40
return self. delete node(self. trailer. prev)
Code Fragment 7.13: Implementation of a LinkedDeque class that inherits from the
DoublyLinkedBase class.
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7.4. The Positional List ADT
7.4
277
The Positional List ADT
The abstract data types that we have considered thus far, namely stacks, queues,
and double-ended queues, only allow update operations that occur at one end of a
sequence or the other. We wish to have a more general abstraction. For example,
although we motivated the FIFO semantics of a queue as a model for customers
who are waiting to speak with a customer service representative, or fans who are
waiting in line to buy tickets to a show, the queue ADT is too limiting. What if
a waiting customer decides to hang up before reaching the front of the customer
service queue? Or what if someone who is waiting in line to buy tickets allows a
friend to “cut” into line at that position? We would like to design an abstract data
type that provides a user a way to refer to elements anywhere in a sequence, and to
perform arbitrary insertions and deletions.
When working with array-based sequences (such as a Python list), integer indices provide an excellent means for describing the location of an element, or the
location at which an insertion or deletion should take place. However, numeric indices are not a good choice for describing positions within a linked list because we
cannot efficiently access an entry knowing only its index; finding an element at a
given index within a linked list requires traversing the list incrementally from its
beginning or end, counting elements as we go.
Furthermore, indices are not a good abstraction for describing a local position
in some applications, because the index of an entry changes over time due to insertions or deletions that happen earlier in the sequence. For example, it may not be
convenient to describe the location of a person waiting in line by knowing precisely
how far away that person is from the front of the line. We prefer an abstraction, as
characterized in Figure 7.14, in which there is some other means for describing
a position. We then wish to model situations such as when an identified person
leaves the line before reaching the front, or in which a new person is added to a line
immediately behind another identified person.
Tickets
me
Figure 7.14: We wish to be able to identify the position of an element in a sequence
without the use of an integer index.
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As another example, a text document can be viewed as a long sequence of
characters. A word processor uses the abstraction of a cursor to describe a position
within the document without explicit use of an integer index, allowing operations
such as “delete the character at the cursor” or “insert a new character just after the
cursor.” Furthermore, we may be able to refer to an inherent position within a document, such as the beginning of a particular section, without relying on a character
index (or even a section number) that may change as the document evolves.
A Node Reference as a Position?
One of the great benefits of a linked list structure is that it is possible to perform
O(1)-time insertions and deletions at arbitrary positions of the list, as long as we
are given a reference to a relevant node of the list. It is therefore very tempting to
develop an ADT in which a node reference serves as the mechanism for describing
a position. In fact, our DoublyLinkedBase class of Section 7.3.1 has methods
insert between and delete node that accept node references as parameters.
However, such direct use of nodes would violate the object-oriented design
principles of abstraction and encapsulation that were introduced in Chapter 2. There
are several reasons to prefer that we encapsulate the nodes of a linked list, for both
our sake and for the benefit of users of our abstraction.
• It will be simpler for users of our data structure if they are not bothered with
unnecessary details of our implementation, such as low-level manipulation
of nodes, or our reliance on the use of sentinel nodes. Notice that to use the
insert between method of our DoublyLinkedBase class to add a node at
the beginning of a sequence, the header sentinel must be sent as a parameter.
• We can provide a more robust data structure if we do not permit users to
directly access or manipulate the nodes. In that way, we ensure that users
cannot invalidate the consistency of a list by mismanaging the linking of
nodes. A more subtle problem arises if a user were allowed to call the
insert between or delete node method of our DoublyLinkedBase class,
sending a node that does not belong to the given list as a parameter. (Go back
and look at that code and see why it causes a problem!)
• By better encapsulating the internal details of our implementation, we have
greater flexibility to redesign the data structure and improve its performance.
In fact, with a well-designed abstraction, we can provide a notion of a nonnumeric position, even if using an array-based sequence.
For these reasons, instead of relying directly on nodes, we introduce an independent position abstraction to denote the location of an element within a list, and
then a complete positional list ADT that can encapsulate a doubly linked list (or
even an array-based sequence; see Exercise P-7.46).
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7.4. The Positional List ADT
279
7.4.1 The Positional List Abstract Data Type
To provide for a general abstraction of a sequence of elements with the ability to
identify the location of an element, we define a positional list ADT as well as a
simpler position abstract data type to describe a location within a list. A position
acts as a marker or token within the broader positional list. A position p is unaffected by changes elsewhere in a list; the only way in which a position becomes
invalid is if an explicit command is issued to delete it.
A position instance is a simple object, supporting only the following method:
p.element( ): Return the element stored at position p.
In the context of the positional list ADT, positions serve as parameters to some
methods and as return values from other methods. In describing the behaviors of a
positional list, we being by presenting the accessor methods supported by a list L:
L.first( ): Return the position of the first element of L, or None if L is empty.
L.last( ): Return the position of the last element of L, or None if L is empty.
L.before(p): Return the position of L immediately before position p, or None
if p is the first position.
L.after(p): Return the position of L immediately after position p, or None if
p is the last position.
L.is empty( ): Return True if list L does not contain any elements.
len(L): Return the number of elements in the list.
iter(L): Return a forward iterator for the elements of the list. See Section 1.8 for discussion of iterators in Python.
The positional list ADT also includes the following update methods:
L.add first(e): Insert a new element e at the front of L, returning the position
of the new element.
L.add last(e): Insert a new element e at the back of L, returning the position
of the new element.
L.add before(p, e): Insert a new element e just before position p in L, returning
the position of the new element.
L.add after(p, e): Insert a new element e just after position p in L, returning
the position of the new element.
L.replace(p, e): Replace the element at position p with element e, returning
the element formerly at position p.
L.delete(p): Remove and return the element at position p in L, invalidating the position.
For those methods of the ADT that accept a position p as a parameter, an error
occurs if p is not a valid position for list L.
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Chapter 7. Linked Lists
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Note well that the first( ) and last( ) methods of the positional list ADT return
the associated positions, not the elements. (This is in contrast to the corresponding
first and last methods of the deque ADT.) The first element of a positional list
can be determined by subsequently invoking the element method on that position,
as L.first( ).element( ). The advantage of receiving a position as a return value is
that we can use that position to navigate the list. For example, the following code
fragment prints all elements of a positional list named data.
cursor = data.first( )
while cursor is not None:
print(cursor.element( ))
cursor = data.after(cursor)
# print the element stored at the position
# advance to the next position (if any)
This code relies on the stated convention that the None object is returned when
after is called upon the last position. That return value is clearly distinguishable
from any legitimate position. The positional list ADT similarly indicates that the
None value is returned when the before method is invoked at the front of the list, or
when first or last methods are called upon an empty list. Therefore, the above code
fragment works correctly even if the data list is empty.
Because the ADT includes support for Python’s iter function, users may rely
on the traditional for-loop syntax for such a forward traversal of a list named data.
for e in data:
print(e)
More general navigational and update methods of the positional list ADT are shown
in the following example.
Example 7.1: The following table shows a series of operations on an initially
empty positional list L. To identify position instances, we use variables such as p
and q. For ease of exposition, when displaying the list contents, we use subscript
notation to denote its positions.
Operation
L.add last(8)
L.first( )
L.add after(p, 5)
L.before(q)
L.add before(q, 3)
r.element( )
L.after(p)
L.before(p)
L.add first(9)
L.delete(L.last( ))
L.replace(p, 7)
Return Value
p
p
q
p
r
3
r
None
s
5
8
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L
8p
8p
8p , 5q
8p , 5q
8p , 3r , 5q
8p , 3r , 5q
8p , 3r , 5q
8p , 3r , 5q
9s , 8p , 3r , 5q
9s , 8p , 3r
9s , 7p , 3r
7.4. The Positional List ADT
281
7.4.2 Doubly Linked List Implementation
In this section, we present a complete implementation of a PositionalList class
using a doubly linked list that satisfies the following important proposition.
Proposition 7.2: Each method of the positional list ADT runs in worst-case O(1)
time when implemented with a doubly linked list.
We rely on the DoublyLinkedBase class from Section 7.3.1 for our low-level
representation; the primary responsibility of our new class is to provide a public
interface in accordance with the positional list ADT. We begin our class definition
in Code Fragment 7.14 with the definition of the public Position class, nested within
our PositionalList class. Position instances will be used to represent the locations
of elements within the list. Our various PositionalList methods may end up creating
redundant Position instances that reference the same underlying node (for example,
when first and last are the same). For that reason, our Position class defines the
eq and ne special methods so that a test such as p == q evaluates to
True when two positions refer to the same node.
Validating Positions
Each time a method of the PositionalList class accepts a position as a parameter,
we want to verify that the position is valid, and if so, to determine the underlying
node associated with the position. This functionality is implemented by a nonpublic method named validate. Internally, a position maintains a reference to the
associated node of the linked list, and also a reference to the list instance that contains the specified node. With the container reference, we can robustly detect when
a caller sends a position instance that does not belong to the indicated list.
We are also able to detect a position instance that belongs to the list, but that
refers to a node that is no longer part of that list. Recall that the delete node of
the base class sets the previous and next references of a deleted node to None; we
can recognize that condition to detect a deprecated node.
Access and Update Methods
The access methods of the PositionalList class are given in Code Fragment 7.15
and the update methods are given in Code Fragment 7.16. All of these methods
trivially adapt the underlying doubly linked list implementation to support the public interface of the positional list ADT. Those methods rely on the validate utility
to “unwrap” any position that is sent. They also rely on a make position utility
to “wrap” nodes as Position instances to return to the user, making sure never to
return a position referencing a sentinel. For convenience, we have overridden the
inherited insert between utility method so that ours returns a position associated
with the newly created node (whereas the inherited version returns the node itself ).
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Chapter 7. Linked Lists
282
1 class PositionalList( DoublyLinkedBase):
2
”””A sequential container of elements allowing positional access.”””
3
4
#-------------------------- nested Position class -------------------------5
class Position:
6
”””An abstraction representing the location of a single element.”””
7
8
def init (self, container, node):
9
”””Constructor should not be invoked by user.”””
10
self. container = container
11
self. node = node
12
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def element(self):
14
”””Return the element stored at this Position.”””
15
return self. node. element
16
17
def eq (self, other):
18
”””Return True if other is a Position representing the same location.”””
19
return type(other) is type(self) and other. node is self. node
20
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def ne (self, other):
22
”””Return True if other does not represent the same location.”””
23
return not (self == other)
# opposite of eq
24
25
#------------------------------- utility method ------------------------------26
def validate(self, p):
27
”””Return position s node, or raise appropriate error if invalid.”””
28
if not isinstance(p, self.Position):
29
raise TypeError( p must be proper Position type )
30
if p. container is not self:
31
raise ValueError( p does not belong to this container )
# convention for deprecated nodes
32
if p. node. next is None:
33
raise ValueError( p is no longer valid )
34
return p. node
Code Fragment 7.14: A PositionalList class based on a doubly linked list. (Continues in Code Fragments 7.15 and 7.16.)
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7.4. The Positional List ADT
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#------------------------------- utility method ------------------------------def make position(self, node):
”””Return Position instance for given node (or None if sentinel).”””
if node is self. header or node is self. trailer:
return None
# boundary violation
else:
return self.Position(self, node)
# legitimate position
#------------------------------- accessors ------------------------------def first(self):
”””Return the first Position in the list (or None if list is empty).”””
return self. make position(self. header. next)
def last(self):
”””Return the last Position in the list (or None if list is empty).”””
return self. make position(self. trailer. prev)
def before(self, p):
”””Return the Position just before Position p (or None if p is first).”””
node = self. validate(p)
return self. make position(node. prev)
def after(self, p):
”””Return the Position just after Position p (or None if p is last).”””
node = self. validate(p)
return self. make position(node. next)
def iter (self):
”””Generate a forward iteration of the elements of the list.”””
cursor = self.first( )
while cursor is not None:
yield cursor.element( )
cursor = self.after(cursor)
Code Fragment 7.15: A PositionalList class based on a doubly linked list. (Continued from Code Fragment 7.14; continues in Code Fragment 7.16.)
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Chapter 7. Linked Lists
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#------------------------------- mutators ------------------------------# override inherited version to return Position, rather than Node
def insert between(self, e, predecessor, successor):
”””Add element between existing nodes and return new Position.”””
node = super( ). insert between(e, predecessor, successor)
return self. make position(node)
def add first(self, e):
”””Insert element e at the front of the list and return new Position.”””
return self. insert between(e, self. header, self. header. next)
def add last(self, e):
”””Insert element e at the back of the list and return new Position.”””
return self. insert between(e, self. trailer. prev, self. trailer)
def add before(self, p, e):
”””Insert element e into list before Position p and return new Position.”””
original = self. validate(p)
return self. insert between(e, original. prev, original)
def add after(self, p, e):
”””Insert element e into list after Position p and return new Position.”””
original = self. validate(p)
return self. insert between(e, original, original. next)
def delete(self, p):
”””Remove and return the element at Position p.”””
original = self. validate(p)
# inherited method returns element
return self. delete node(original)
def replace(self, p, e):
”””Replace the element at Position p with e.
Return the element formerly at Position p.
”””
original = self. validate(p)
# temporarily store old element
old value = original. element
# replace with new element
original. element = e
# return the old element value
return old value
Code Fragment 7.16: A PositionalList class based on a doubly linked list. (Contin-
ued from Code Fragments 7.14 and 7.15.)
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7.5. Sorting a Positional List
7.5
285
Sorting a Positional List
In Section 5.5.2, we introduced the insertion-sort algorithm, in the context of an
array-based sequence. In this section, we develop an implementation that operates
on a PositionalList, relying on the same high-level algorithm in which each element
is placed relative to a growing collection of previously sorted elements.
We maintain a variable named marker that represents the rightmost position of
the currently sorted portion of a list. During each pass, we consider the position just
past the marker as the pivot and consider where the pivot’s element belongs relative
to the sorted portion; we use another variable, named walk, to move leftward from
the marker, as long as there remains a preceding element with value larger than the
pivot’s. A typical configuration of these variables is diagrammed in Figure 7.15. A
Python implementation of this strategy is given in Code 7.17.
walk
15
22
25
pivot
29
36
23
53
11
42
marker
Figure 7.15: Overview of one step of our insertion-sort algorithm. The shaded
elements, those up to and including marker, have already been sorted. In this step,
the pivot’s element should be relocated immediately before the walk position.
1 def insertion sort(L):
2
”””Sort PositionalList of comparable elements into nondecreasing order.”””
3
if len(L) > 1:
# otherwise, no need to sort it
4
marker = L.first( )
5
while marker != L.last( ):
6
pivot = L.after(marker)
# next item to place
7
value = pivot.element( )
8
if value > marker.element( ):
# pivot is already sorted
9
marker = pivot
# pivot becomes new marker
10
else:
# must relocate pivot
11
walk = marker
# find leftmost item greater than value
12
while walk != L.first( ) and L.before(walk).element( ) > value:
13
walk = L.before(walk)
14
L.delete(pivot)
# reinsert value before walk
15
L.add before(walk, value)
Code Fragment 7.17: Python code for performing insertion-sort on a positional list.
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Chapter 7. Linked Lists
286
7.6
Case Study: Maintaining Access Frequencies
The positional list ADT is useful in a number of settings. For example, a program
that simulates a game of cards could model each person’s hand as a positional list
(Exercise P-7.47). Since most people keep cards of the same suit together, inserting
and removing cards from a person’s hand could be implemented using the methods
of the positional list ADT, with the positions being determined by a natural order
of the suits. Likewise, a simple text editor embeds the notion of positional insertion
and deletion, since such editors typically perform all updates relative to a cursor,
which represents the current position in the list of characters of text being edited.
In this section, we consider maintaining a collection of elements while keeping
track of the number of times each element is accessed. Keeping such access counts
allows us to know which elements are among the most popular. Examples of such
scenarios include a Web browser that keeps track of a user’s most accessed URLs,
or a music collection that maintains a list of the most frequently played songs for
a user. We model this with a new favorites list ADT that supports the len and
is empty methods as well as the following:
access(e): Access the element e, incrementing its access count, and
adding it to the favorites list if it is not already present.
remove(e): Remove element e from the favorites list, if present.
top(k): Return an iteration of the k most accessed elements.
7.6.1 Using a Sorted List
Our first approach for managing a list of favorites is to store elements in a linked
list, keeping them in nonincreasing order of access counts. We access or remove
an element by searching the list from the most frequently accessed to the least
frequently accessed. Reporting the top k most accessed elements is easy, as they
are the first k entries of the list.
To maintain the invariant that elements are stored in nonincreasing order of
access counts, we must consider how a single access operation may affect the order.
The accessed element’s count increases by one, and so it may become larger than
one or more of its preceding neighbors in the list, thereby violating the invariant.
Fortunately, we can reestablish the sorted invariant using a technique similar to
a single pass of the insertion-sort algorithm, introduced in the previous section. We
can perform a backward traversal of the list, starting at the position of the element
whose access count has increased, until we locate a valid position after which the
element can be relocated.
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7.6. Case Study: Maintaining Access Frequencies
287
Using the Composition Pattern
We wish to implement a favorites list by making use of a PositionalList for storage.
If elements of the positional list were simply elements of the favorites list, we
would be challenged to maintain access counts and to keep the proper count with
the associated element as the contents of the list are reordered. We use a general
object-oriented design pattern, the composition pattern, in which we define a single
object that is composed of two or more other objects. Specifically, we define a
nonpublic nested class, Item, that stores the element and its access count as a
single instance. We then maintain our favorites list as a PositionalList of item
instances, so that the access count for a user’s element is embedded alongside it in
our representation. (An Item is never exposed to a user of a FavoritesList.)
1 class FavoritesList:
2
”””List of elements ordered from most frequently accessed to least.”””
3
4
#------------------------------ nested Item class -----------------------------5
class Item:
slots = _value , _count
# streamline memory usage
6
7
def init (self, e):
# the user s element
8
self. value = e
# access count initially zero
9
self. count = 0
10
11
#------------------------------- nonpublic utilities ------------------------------12
def find position(self, e):
13
”””Search for element e and return its Position (or None if not found).”””
14
walk = self. data.first( )
15
while walk is not None and walk.element( ). value != e:
16
walk = self. data.after(walk)
17
return walk
18
19
def move up(self, p):
20
”””Move item at Position p earlier in the list based on access count.”””
# consider moving...
21
if p != self. data.first( ):
22
cnt = p.element( ). count
23
walk = self. data.before(p)
# must shift forward
24
if cnt > walk.element( ). count:
25
while (walk != self. data.first( ) and
26
cnt > self. data.before(walk).element( ). count):
27
walk = self. data.before(walk)
# delete/reinsert
28
self. data.add before(walk, self. data.delete(p))
Code Fragment 7.18: Class FavoritesList. (Continues in Code Fragment 7.19.)
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Chapter 7. Linked Lists
288
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#------------------------------- public methods ------------------------------def init (self):
”””Create an empty list of favorites.”””
# will be list of Item instances
self. data = PositionalList( )
def len (self):
”””Return number of entries on favorites list.”””
return len(self. data)
def is empty(self):
”””Return True if list is empty.”””
return len(self. data) == 0
def access(self, e):
”””Access element e, thereby increasing its access count.”””
# try to locate existing element
p = self. find position(e)
if p is None:
p = self. data.add last(self. Item(e)) # if new, place at end
# always increment count
p.element( ). count += 1
# consider moving forward
self. move up(p)
def remove(self, e):
”””Remove element e from the list of favorites.”””
# try to locate existing element
p = self. find position(e)
if p is not None:
# delete, if found
self. data.delete(p)
def top(self, k):
”””Generate sequence of top k elements in terms of access count.”””
if not 1 <= k <= len(self):
raise ValueError( Illegal value for k )
walk = self. data.first( )
for j in range(k):
item = walk.element( )
# element of list is Item
# report user’s element
yield item. value
walk = self. data.after(walk)
Code Fragment 7.19: Class FavoritesList. (Continued from Code Fragment 7.18.)
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7.6. Case Study: Maintaining Access Frequencies
289
7.6.2 Using a List with the Move-to-Front Heuristic
The previous implementation of a favorites list performs the access(e) method in
time proportional to the index of e in the favorites list. That is, if e is the kth most
popular element in the favorites list, then accessing it takes O(k) time. In many
real-life access sequences (e.g., Web pages visited by a user), once an element is
accessed it is more likely to be accessed again in the near future. Such scenarios
are said to possess locality of reference.
A heuristic, or rule of thumb, that attempts to take advantage of the locality of
reference that is present in an access sequence is the move-to-front heuristic. To
apply this heuristic, each time we access an element we move it all the way to the
front of the list. Our hope, of course, is that this element will be accessed again in
the near future. Consider, for example, a scenario in which we have n elements and
the following series of n2 accesses:
• element 1 is accessed n times
• element 2 is accessed n times
• ···
• element n is accessed n times.
If we store the elements sorted by their access counts, inserting each element the
first time it is accessed, then
• each access to element 1 runs in O(1) time
• each access to element 2 runs in O(2) time
• ···
• each access to element n runs in O(n) time.
Thus, the total time for performing the series of accesses is proportional to
n + 2n + 3n + · · · + n · n = n(1 + 2 + 3 + · · · + n) = n ·
n(n + 1)
,
2
which is O(n3 ).
On the other hand, if we use the move-to-front heuristic, inserting each element
the first time it is accessed, then
• each subsequent access to element 1 takes O(1) time
• each subsequent access to element 2 takes O(1) time
• ···
• each subsequent access to element n runs in O(1) time.
So the running time for performing all the accesses in this case is O(n2 ). Thus,
the move-to-front implementation has faster access times for this scenario. Still,
the move-to-front approach is just a heuristic, for there are access sequences where
using the move-to-front approach is slower than simply keeping the favorites list
ordered by access counts.
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Chapter 7. Linked Lists
290
The Trade-Offs with the Move-to-Front Heuristic
If we no longer maintain the elements of the favorites list ordered by their access
counts, when we are asked to find the k most accessed elements, we need to search
for them. We will implement the top(k) method as follows:
1. We copy all entries of our favorites list into another list, named temp.
2. We scan the temp list k times. In each scan, we find the entry with the largest
access count, remove this entry from temp, and report it in the results.
This implementation of method top takes O(kn) time. Thus, when k is a constant,
method top runs in O(n) time. This occurs, for example, when we want to get the
“top ten” list. However, if k is proportional to n, then top runs in O(n2 ) time. This
occurs, for example, when we want a “top 25%” list.
In Chapter 9 we will introduce a data structure that will allow us to implement
top in O(n + k log n) time (see Exercise P-9.54), and more advanced techniques
could be used to perform top in O(n + k log k) time.
We could easily achieve O(n log n) time if we use a standard sorting algorithm
to reorder the temporary list before reporting the top k (see Chapter 12); this approach would be preferred to the original in the case that k is Ω(log n). (Recall
the big-Omega notation introduced in Section 3.3.1 to give an asymptotic lower
bound on the running time of an algorithm.) There is a more specialized sorting
algorithm (see Section 12.4.2) that can take advantage of the fact that access counts
are integers in order to achieve O(n) time for top, for any value of k.
Implementing the Move-to-Front Heuristic in Python
We give an implementation of a favorites list using the move-to-front heuristic in
Code Fragment 7.20. The new FavoritesListMTF class inherits most of its functionality from the original FavoritesList as a base class.
By our original design, the access method of the original class relies on a nonpublic utility named move up to enact the potential shifting of an element forward
in the list, after its access count had been incremented. Therefore, we implement
the move-to-front heuristic by simply overriding the move up method so that each
accessed element is moved directly to the front of the list (if not already there). This
action is easily implemented by means of the positional list ADT.
The more complex portion of our FavoritesListMTF class is the new definition
for the top method. We rely on the first of the approaches outlined above, inserting
copies of the items into a temporary list and then repeatedly finding, reporting, and
removing an element that has the largest access count of those remaining.
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7.6. Case Study: Maintaining Access Frequencies
291
1 class FavoritesListMTF(FavoritesList):
2
”””List of elements ordered with move-to-front heuristic.”””
3
4
# we override move up to provide move-to-front semantics
5
def move up(self, p):
6
”””Move accessed item at Position p to front of list.”””
7
if p != self. data.first( ):
# delete/reinsert
8
self. data.add first(self. data.delete(p))
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# we override top because list is no longer sorted
11
def top(self, k):
12
”””Generate sequence of top k elements in terms of access count.”””
13
if not 1 <= k <= len(self):
14
raise ValueError( Illegal value for k )
15
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# we begin by making a copy of the original list
17
temp = PositionalList( )
# positional lists support iteration
18
for item in self. data:
19
temp.add last(item)
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# we repeatedly find, report, and remove element with largest count
22
for j in range(k):
23
# find and report next highest from temp
24
highPos = temp.first( )
25
walk = temp.after(highPos)
26
while walk is not None:
27
if walk.element( ). count > highPos.element( ). count:
28
highPos = walk
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walk = temp.after(walk)
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# we have found the element with highest count
# report element to user
31
yield highPos.element( ). value
32
temp.delete(highPos)
# remove from temp list
Code Fragment 7.20: Class FavoritesListMTF implementing the move-to-front
heuristic. This class extends FavoritesList (Code Fragments 7.18 and 7.19) and
overrides methods move up and top.
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Chapter 7. Linked Lists
292
7.7
Link-Based vs. Array-Based Sequences
We close this chapter by reflecting on the relative pros and cons of array-based
and link-based data structures that have been introduced thus far. The dichotomy
between these approaches presents a common design decision when choosing an
appropriate implementation of a data structure. There is not a one-size-fits-all solution, as each offers distinct advantages and disadvantages.
Advantages of Array-Based Sequences
• Arrays provide O(1)-time access to an element based on an integer index.
The ability to access the kth element for any k in O(1) time is a hallmark
advantage of arrays (see Section 5.2). In contrast, locating the kth element
in a linked list requires O(k) time to traverse the list from the beginning,
or possibly O(n − k) time, if traversing backward from the end of a doubly
linked list.
• Operations with equivalent asymptotic bounds typically run a constant factor
more efficiently with an array-based structure versus a linked structure. As
an example, consider the typical enqueue operation for a queue. Ignoring
the issue of resizing an array, this operation for the ArrayQueue class (see
Code Fragment 6.7) involves an arithmetic calculation of the new index, an
increment of an integer, and storing a reference to the element in the array.
In contrast, the process for a LinkedQueue (see Code Fragment 7.8) requires
the instantiation of a node, appropriate linking of nodes, and an increment
of an integer. While this operation completes in O(1) time in either model,
the actual number of CPU operations will be more in the linked version,
especially given the instantiation of the new node.
• Array-based representations typically use proportionally less memory than
linked structures. This advantage may seem counterintuitive, especially given
that the length of a dynamic array may be longer than the number of elements
that it stores. Both array-based lists and linked lists are referential structures,
so the primary memory for storing the actual objects that are elements is the
same for either structure. What differs is the auxiliary amounts of memory
that are used by the two structures. For an array-based container of n elements, a typical worst case may be that a recently resized dynamic array has
allocated memory for 2n object references. With linked lists, memory must
be devoted not only to store a reference to each contained object, but also
explicit references that link the nodes. So a singly linked list of length n
already requires 2n references (an element reference and next reference for
each node). With a doubly linked list, there are 3n references.
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293
Advantages of Link-Based Sequences
• Link-based structures provide worst-case time bounds for their operations.
This is in contrast to the amortized bounds associated with the expansion or
contraction of a dynamic array (see Section 5.3).
When many individual operations are part of a larger computation, and we
only care about the total time of that computation, an amortized bound is as
good as a worst-case bound precisely because it gives a guarantee on the sum
of the time spent on the individual operations.
However, if data structure operations are used in a real-time system that is designed to provide more immediate responses (e.g., an operating system, Web
server, air traffic control system), a long delay caused by a single (amortized)
operation may have an adverse effect.
• Link-based structures support O(1)-time insertions and deletions at arbitrary positions. The ability to perform a constant-time insertion or deletion
with the PositionalList class, by using a Position to efficiently describe the
location of the operation, is perhaps the most significant advantage of the
linked list.
This is in stark contrast to an array-based sequence. Ignoring the issue of
resizing an array, inserting or deleting an element from the end of an arraybased list can be done in constant time. However, more general insertions and
deletions are expensive. For example, with Python’s array-based list class, a
call to insert or pop with index k uses O(n − k + 1) time because of the loop
to shift all subsequent elements (see Section 5.4).
As an example application, consider a text editor that maintains a document
as a sequence of characters. Although users often add characters to the end
of the document, it is also possible to use the cursor to insert or delete one or
more characters at an arbitrary position within the document. If the character sequence were stored in an array-based sequence (such as a Python list),
each such edit operation may require linearly many characters to be shifted,
leading to O(n) performance for each edit operation. With a linked-list representation, an arbitrary edit operation (insertion or deletion of a character
at the cursor) can be performed in O(1) worst-case time, assuming we are
given a position that represents the location of the cursor.
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7.8
Exercises
For help with exercises, please visit the site, www.wiley.com/college/goodrich.
Reinforcement
R-7.1 Give an algorithm for finding the second-to-last node in a singly linked
list in which the last node is indicated by a next reference of None.
R-7.2 Describe a good algorithm for concatenating two singly linked lists L and
M, given only references to the first node of each list, into a single list L
that contains all the nodes of L followed by all the nodes of M.
R-7.3 Describe a recursive algorithm that counts the number of nodes in a singly
linked list.
R-7.4 Describe in detail how to swap two nodes x and y (and not just their contents) in a singly linked list L given references only to x and y. Repeat
this exercise for the case when L is a doubly linked list. Which algorithm
takes more time?
R-7.5 Implement a function that counts the number of nodes in a circularly
linked list.
R-7.6 Suppose that x and y are references to nodes of circularly linked lists,
although not necessarily the same list. Describe a fast algorithm for telling
if x and y belong to the same list.
R-7.7 Our CircularQueue class of Section 7.2.2 provides a rotate( ) method that
has semantics equivalent to Q.enqueue(Q.dequeue( )), for a nonempty
queue. Implement such a method for the LinkedQueue class of Section 7.1.2 without the creation of any new nodes.
R-7.8 Describe a nonrecursive method for finding, by link hopping, the middle
node of a doubly linked list with header and trailer sentinels. In the case
of an even number of nodes, report the node slightly left of center as the
“middle.” (Note: This method must only use link hopping; it cannot use a
counter.) What is the running time of this method?
R-7.9 Give a fast algorithm for concatenating two doubly linked lists L and M,
with header and trailer sentinel nodes, into a single list L .
R-7.10 There seems to be some redundancy in the repertoire of the positional
list ADT, as the operation L.add first(e) could be enacted by the alternative L.add before(L.first( ), e). Likewise, L.add last(e) might be performed as L.add after(L.last( ), e). Explain why the methods add first
and add last are necessary.
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295
R-7.11 Implement a function, with calling syntax max(L), that returns the maximum element from a PositionalList instance L containing comparable
elements.
R-7.12 Redo the previously problem with max as a method of the PositionalList
class, so that calling syntax L.max( ) is supported.
R-7.13 Update the PositionalList class to support an additional method find(e),
which returns the position of the (first occurrence of ) element e in the list
(or None if not found).
R-7.14 Repeat the previous process using recursion. Your method should not
contain any loops. How much space does your method use in addition to
the space used for L?
R-7.15 Provide support for a reversed method of the PositionalList class that
is similar to the given iter , but that iterates the elements in reversed
order.
R-7.16 Describe an implementation of the PositionalList methods add last and
add before realized by using only methods in the set {is empty, first, last,
prev, next, add after, and add first}.
R-7.17 In the FavoritesListMTF class, we rely on public methods of the positional
list ADT to move an element of a list at position p to become the first element of the list, while keeping the relative order of the remaining elements
unchanged. Internally, that combination of operations causes one node to
be removed and a new node to be inserted. Augment the PositionalList
class to support a new method, move to front(p), that accomplishes this
goal more directly, by relinking the existing node.
R-7.18 Given the set of element {a, b, c, d, e, f } stored in a list, show the final state
of the list, assuming we use the move-to-front heuristic and access the elements according to the following sequence: (a, b, c, d, e, f , a, c, f , b, d, e).
R-7.19 Suppose that we have made kn total accesses to the elements in a list L of
n elements, for some integer k ≥ 1. What are the minimum and maximum
number of elements that have been accessed fewer than k times?
R-7.20 Let L be a list of n items maintained according to the move-to-front heuristic. Describe a series of O(n) accesses that will reverse L.
R-7.21 Suppose we have an n-element list L maintained according to the moveto-front heuristic. Describe a sequence of n2 accesses that is guaranteed
to take Ω(n3 ) time to perform on L.
R-7.22 Implement a clear( ) method for the FavoritesList class that returns the list
to empty.
R-7.23 Implement a reset counts( ) method for the FavoritesList class that resets
all elements’ access counts to zero (while leaving the order of the list
unchanged).
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Creativity
C-7.24 Give a complete implementation of the stack ADT using a singly linked
list that includes a header sentinel.
C-7.25 Give a complete implementation of the queue ADT using a singly linked
list that includes a header sentinel.
C-7.26 Implement a method, concatenate(Q2) for the LinkedQueue class that
takes all elements of LinkedQueue Q2 and appends them to the end of the
original queue. The operation should run in O(1) time and should result
in Q2 being an empty queue.
C-7.27 Give a recursive implementation of a singly linked list class, such that an
instance of a nonempty list stores its first element and a reference to a list
of remaining elements.
C-7.28 Describe a fast recursive algorithm for reversing a singly linked list.
C-7.29 Describe in detail an algorithm for reversing a singly linked list L using
only a constant amount of additional space and not using any recursion.
C-7.30 Exercise P-6.35 describes a LeakyStack abstraction. Implement that ADT
using a singly linked list for storage.
C-7.31 Design a forward list ADT that abstracts the operations on a singly linked
list, much as the positional list ADT abstracts the use of a doubly linked
list. Implement a ForwardList class that supports such an ADT.
C-7.32 Design a circular positional list ADT that abstracts a circularly linked list
in the same way that the positional list ADT abstracts a doubly linked list,
with a notion of a designated “cursor” position within the list.
C-7.33 Modify the DoublyLinkedBase class to include a reverse method that reverses the order of the list, yet without creating or destroying any nodes.
C-7.34 Modify the PositionalList class to support a method swap(p, q) that causes
the underlying nodes referenced by positions p and q to be exchanged for
each other. Relink the existing nodes; do not create any new nodes.
C-7.35 To implement the iter method of the PositionalList class, we relied on the
convenience of Python’s generator syntax and the yield statement. Give
an alternative implementation of iter by designing a nested iterator class.
(See Section 2.3.4 for discussion of iterators.)
C-7.36 Give a complete implementation of the positional list ADT using a doubly
linked list that does not include any sentinel nodes.
C-7.37 Implement a function that accepts a PositionalList L of n integers sorted
in nondecreasing order, and another value V , and determines in O(n) time
if there are two elements of L that sum precisely to V . The function should
return a pair of positions of such elements, if found, or None otherwise.
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C-7.38 There is a simple, but inefficient, algorithm, called bubble-sort, for sorting
a list L of n comparable elements. This algorithm scans the list n−1 times,
where, in each scan, the algorithm compares the current element with the
next one and swaps them if they are out of order. Implement a bubble sort
function that takes a positional list L as a parameter. What is the running
time of this algorithm, assuming the positional list is implemented with a
doubly linked list?
C-7.39 To better model a FIFO queue in which entries may be deleted before
reaching the front, design a PositionalQueue class that supports the complete queue ADT, yet with enqueue returning a position instance and support for a new method, delete(p), that removes the element associated
with position p from the queue. You may use the adapter design pattern
(Section 6.1.2), using a PositionalList as your storage.
C-7.40 Describe an efficient method for maintaining a favorites list L, with moveto-front heuristic, such that elements that have not been accessed in the
most recent n accesses are automatically purged from the list.
C-7.41 Exercise C-5.29 introduces the notion of a natural join of two databases.
Describe and analyze an efficient algorithm for computing the natural join
of a linked list A of n pairs and a linked list B of m pairs.
C-7.42 Write a Scoreboard class that maintains the top 10 scores for a game application using a singly linked list, rather than the array that was used in
Section 5.5.1.
C-7.43 Describe a method for performing a card shuffle of a list of 2n elements,
by converting it into two lists. A card shuffle is a permutation where a list
L is cut into two lists, L1 and L2 , where L1 is the first half of L and L2 is the
second half of L, and then these two lists are merged into one by taking
the first element in L1 , then the first element in L2 , followed by the second
element in L1 , the second element in L2 , and so on.
Projects
P-7.44 Write a simple text editor that stores and displays a string of characters
using the positional list ADT, together with a cursor object that highlights
a position in this string. A simple interface is to print the string and then
to use a second line of output to underline the position of the cursor. Your
editor should support the following operations:
• left: Move cursor left one character (do nothing if at beginning).
• right: Move cursor right one character (do nothing if at end).
• insert c: Insert the character c just after the cursor.
• delete: Delete the character just after the cursor (do nothing at end).
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P-7.45 An array A is sparse if most of its entries are empty (i.e., None). A list
L can be used to implement such an array efficiently. In particular, for
each nonempty cell A[i], we can store an entry (i, e) in L, where e is the
element stored at A[i]. This approach allows us to represent A using O(m)
storage, where m is the number of nonempty entries in A. Provide such
a SparseArray class that minimally supports methods getitem (j) and
setitem (j, e) to provide standard indexing operations. Analyze the
efficiency of these methods.
P-7.46 Although we have used a doubly linked list to implement the positional
list ADT, it is possible to support the ADT with an array-based implementation. The key is to use the composition pattern and store a sequence
of position items, where each item stores an element as well as that element’s current index in the array. Whenever an element’s place in the array
is changed, the recorded index in the position must be updated to match.
Given a complete class providing such an array-based implementation of
the positional list ADT. What is the efficiency of the various operations?
P-7.47 Implement a CardHand class that supports a person arranging a group of
cards in his or her hand. The simulator should represent the sequence of
cards using a single positional list ADT so that cards of the same suit are
kept together. Implement this strategy by means of four “fingers” into the
hand, one for each of the suits of hearts, clubs, spades, and diamonds,
so that adding a new card to the person’s hand or playing a correct card
from the hand can be done in constant time. The class should support the
following methods:
• add card(r, s): Add a new card with rank r and suit s to the hand.
• play(s): Remove and return a card of suit s from the player’s hand;
if there is no card of suit s, then remove and return an arbitrary card
from the hand.
iter ( ): Iterate through all cards currently in the hand.
•
• all of suit(s): Iterate through all cards of suit s that are currently in
the hand.
Chapter Notes
A view of data structures as collections (and other principles of object-oriented design)
can be found in object-oriented design books by Booch [17], Budd [20], Goldberg and
Robson [42], and Liskov and Guttag [71]. Our positional list ADT is derived from the
“position” abstraction introduced by Aho, Hopcroft, and Ullman [6], and the list ADT of
Wood [104]. Implementations of linked lists are discussed by Knuth [64].
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Chapter
8
Trees
Contents
8.1
8.2
8.3
8.4
General Trees . . . . . . . . . . . . . . . . . . . . . . . . .
8.1.1 Tree Definitions and Properties . . . . . . . . . . . . . . .
8.1.2 The Tree Abstract Data Type . . . . . . . . . . . . . . .
8.1.3 Computing Depth and Height . . . . . . . . . . . . . . . .
Binary Trees . . . . . . . . . . . . . . . . . . . . . . . . . .
8.2.1 The Binary Tree Abstract Data Type . . . . . . . . . . . .
8.2.2 Properties of Binary Trees . . . . . . . . . . . . . . . . .
Implementing Trees . . . . . . . . . . . . . . . . . . . . . .
8.3.1 Linked Structure for Binary Trees . . . . . . . . . . . . . .
8.3.2 Array-Based Representation of a Binary Tree . . . . . . .
8.3.3 Linked Structure for General Trees . . . . . . . . . . . . .
Tree Traversal Algorithms . . . . . . . . . . . . . . . . . . .
8.4.1 Preorder and Postorder Traversals of General Trees . . . .
8.4.2 Breadth-First Tree Traversal . . . . . . . . . . . . . . . .
8.4.3 Inorder Traversal of a Binary Tree . . . . . . . . . . . . .
8.4.4 Implementing Tree Traversals in Python . . . . . . . . . .
8.4.5 Applications of Tree Traversals . . . . . . . . . . . . . . .
8.4.6 Euler Tours and the Template Method Pattern
. . . . .
Case Study: An Expression Tree . . . . . . . . . . . . . . .
Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . .
8.5
8.6
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301
305
308
311
313
315
317
317
325
327
328
328
330
331
333
337
341
348
352
Chapter 8. Trees
300
General Trees
Shuah
Ishbak
Midian
Medan
Ephah
Epher
Hanoch
Abida
Eldaah
Jokshan
Sheba
Dedan
Jacob (Israel)
Reuben
Simeon
Levi
Judah
Dan
Naphtali
Gad
Asher
Issachar
Zebulun
Dinah
Joseph
Benjamin
Zimran
Esau
Eliphaz
Reuel
Jeush
Jalam
Korah
Ishmael
Isaac
Abraham
Productivity experts say that breakthroughs come by thinking “nonlinearly.” In
this chapter, we discuss one of the most important nonlinear data structures in
computing—trees. Tree structures are indeed a breakthrough in data organization,
for they allow us to implement a host of algorithms much faster than when using
linear data structures, such as array-based lists or linked lists. Trees also provide a
natural organization for data, and consequently have become ubiquitous structures
in file systems, graphical user interfaces, databases, Web sites, and other computer
systems.
It is not always clear what productivity experts mean by “nonlinear” thinking,
but when we say that trees are “nonlinear,” we are referring to an organizational
relationship that is richer than the simple “before” and “after” relationships between objects in sequences. The relationships in a tree are hierarchical, with some
objects being “above” and some “below” others. Actually, the main terminology
for tree data structures comes from family trees, with the terms “parent,” “child,”
“ancestor,” and “descendant” being the most common words used to describe relationships. We show an example of a family tree in Figure 8.1.
Nebaioth
Kedar
Adbeel
Mibsam
Mishma
Dumah
Massa
Hadad
Tema
Jetur
Naphish
Kedemah
8.1
Figure 8.1: A family tree showing some descendants of Abraham, as recorded in
Genesis, chapters 25–36.
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301
8.1.1 Tree Definitions and Properties
A tree is an abstract data type that stores elements hierarchically. With the exception of the top element, each element in a tree has a parent element and zero or
more children elements. A tree is usually visualized by placing elements inside
ovals or rectangles, and by drawing the connections between parents and children
with straight lines. (See Figure 8.2.) We typically call the top element the root
of the tree, but it is drawn as the highest element, with the other elements being
connected below (just the opposite of a botanical tree).
Electronics R’Us
R&D
Sales
Domestic
Canada
Purchasing
International
S. America
Africa
Manufacturing
TV
CD
Tuner
Overseas
Europe
Asia
Australia
Figure 8.2: A tree with 17 nodes representing the organization of a fictitious corporation. The root stores Electronics R’Us. The children of the root store R&D,
Sales, Purchasing, and Manufacturing. The internal nodes store Sales, International, Overseas, Electronics R’Us, and Manufacturing.
Formal Tree Definition
Formally, we define a tree T as a set of nodes storing elements such that the nodes
have a parent-child relationship that satisfies the following properties:
• If T is nonempty, it has a special node, called the root of T , that has no parent.
• Each node v of T different from the root has a unique parent node w; every
node with parent w is a child of w.
Note that according to our definition, a tree can be empty, meaning that it does not
have any nodes. This convention also allows us to define a tree recursively such
that a tree T is either empty or consists of a node r, called the root of T , and a
(possibly empty) set of subtrees whose roots are the children of r.
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302
Other Node Relationships
Two nodes that are children of the same parent are siblings. A node v is external
if v has no children. A node v is internal if it has one or more children. External
nodes are also known as leaves.
Example 8.1: In Section 4.1.4, we discussed the hierarchical relationship between files and directories in a computer’s file system, although at the time we
did not emphasize the nomenclature of a file system as a tree. In Figure 8.3, we
revisit an earlier example. We see that the internal nodes of the tree are associated with directories and the leaves are associated with regular files. In the UNIX
and Linux operating systems, the root of the tree is appropriately called the “root
directory,” and is represented by the symbol “/.”
/user/rt/courses/
cs252/
cs016/
grades
homeworks/
hw1 hw2
hw3
programs/
pr1
pr2
projects/
pr3
papers/
buylow
sellhigh
grades
demos/
market
Figure 8.3: Tree representing a portion of a file system.
A node u is an ancestor of a node v if u = v or u is an ancestor of the parent
of v. Conversely, we say that a node v is a descendant of a node u if u is an ancestor
of v. For example, in Figure 8.3, cs252/ is an ancestor of papers/, and pr3 is a
descendant of cs016/. The subtree of T rooted at a node v is the tree consisting of
all the descendants of v in T (including v itself). In Figure 8.3, the subtree rooted at
cs016/ consists of the nodes cs016/, grades, homeworks/, programs/, hw1, hw2,
hw3, pr1, pr2, and pr3.
Edges and Paths in Trees
An edge of tree T is a pair of nodes (u, v) such that u is the parent of v, or vice
versa. A path of T is a sequence of nodes such that any two consecutive nodes in
the sequence form an edge. For example, the tree in Figure 8.3 contains the path
(cs252/, projects/, demos/, market).
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303
Example 8.2: The inheritance relation between classes in a Python program forms
a tree when single inheritance is used. For example, in Section 2.4 we provided a
summary of the hierarchy for Python’s exception types, as portrayed in Figure 8.4
(originally Figure 2.5). The BaseException class is the root of that hierarchy, while
all user-defined exception classes should conventionally be declared as descendants
of the more specific Exception class. (See, for example, the Empty class we introduced in Code Fragment 6.1 of Chapter 6.)
BaseException
SystemExit
Exception
KeyboardInterrupt
LookupError
ValueError
IndexError
ArithmeticError
KeyError
ZeroDivisionError
Figure 8.4: A portion of Python’s hierarchy of exception types.
In Python, all classes are organized into a single hierarchy, as there exists a
built-in class named object as the ultimate base class. It is a direct or indirect base
class of all other types in Python (even if not declared as such when defining a new
class). Therefore, the hierarchy pictured in Figure 8.4 is only a portion of Python’s
complete class hierarchy.
As a preview of the remainder of this chapter, Figure 8.5 portrays our own
hierarchy of classes for representing various forms of a tree.
Tree
BinaryTree
ArrayBinaryTree
LinkedTree
LinkedBinaryTree
Figure 8.5: Our own inheritance hierarchy for modeling various abstractions and
implementations of tree data structures. In the remainder of this chapter, we provide
implementations of Tree, BinaryTree, and LinkedBinaryTree classes, and highlevel sketches for how LinkedTree and ArrayBinaryTree might be designed.
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304
Ordered Trees
A tree is ordered if there is a meaningful linear order among the children of each
node; that is, we purposefully identify the children of a node as being the first,
second, third, and so on. Such an order is usually visualized by arranging siblings
left to right, according to their order.
Example 8.3: The components of a structured document, such as a book, are hierarchically organized as a tree whose internal nodes are parts, chapters, and sections,
and whose leaves are paragraphs, tables, figures, and so on. (See Figure 8.6.) The
root of the tree corresponds to the book itself. We could, in fact, consider expanding
the tree further to show paragraphs consisting of sentences, sentences consisting of
words, and words consisting of characters. Such a tree is an example of an ordered
tree, because there is a well-defined order among the children of each node.
Book
Preface
¶
...
¶
§ 1.1
¶
...
Part A
Ch. 1
... § 1.4
¶
...
Part B
Ch. 5
§ 5.1
Ch. 6
... § 5.7
§ 6.1
...
... § 6.5
References
...
Ch. 9
¶
§ 9.1
... § 9.6
...
¶
...
¶
¶
Figure 8.6: An ordered tree associated with a book.
Let’s look back at the other examples of trees that we have described thus far,
and consider whether the order of children is significant. A family tree that describes generational relationships, as in Figure 8.1, is often modeled as an ordered
tree, with siblings ordered according to their birth.
In contrast, an organizational chart for a company, as in Figure 8.2, is typically
considered an unordered tree. Likewise, when using a tree to describe an inheritance hierarchy, as in Figure 8.4, there is no particular significance to the order
among the subclasses of a parent class. Finally, we consider the use of a tree in
modeling a computer’s file system, as in Figure 8.3. Although an operating system
often displays entries of a directory in a particular order (e.g., alphabetical, chronological), such an order is not typically inherent to the file system’s representation.
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305
8.1.2 The Tree Abstract Data Type
As we did with positional lists in Section 7.4, we define a tree ADT using the
concept of a position as an abstraction for a node of a tree. An element is stored
at each position, and positions satisfy parent-child relationships that define the tree
structure. A position object for a tree supports the method:
p.element( ): Return the element stored at position p.
The tree ADT then supports the following accessor methods, allowing a user to
navigate the various positions of a tree:
T.root( ): Return the position of the root of tree T,
or None if T is empty.
T.is root(p): Return True if position p is the root of Tree T.
T.parent(p): Return the position of the parent of position p,
or None if p is the root of T.
T.num children(p): Return the number of children of position p.
T.children(p): Generate an iteration of the children of position p.
T.is leaf(p): Return True if position p does not have any children.
len(T): Return the number of positions (and hence elements) that
are contained in tree T.
T.is empty( ): Return True if tree T does not contain any positions.
T.positions( ): Generate an iteration of all positions of tree T.
iter(T): Generate an iteration of all elements stored within tree T.
Any of the above methods that accepts a position as an argument should generate a
ValueError if that position is invalid for T.
If a tree T is ordered, then T.children(p) reports the children of p in the natural
order. If p is a leaf, then T.children(p) generates an empty iteration. In similar
regard, if tree T is empty, then both T.positions( ) and iter(T) generate empty iterations. We will discuss general means for iterating through all positions of a tree in
Sections 8.4.
We do not define any methods for creating or modifying trees at this point.
We prefer to describe different tree update methods in conjunction with specific
implementations of the tree interface, and specific applications of trees.
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A Tree Abstract Base Class in Python
In discussing the object-oriented design principle of abstraction in Section 2.1.2, we
noted that a public interface for an abstract data type is often managed in Python via
duck typing. For example, we defined the notion of the public interface for a queue
ADT in Section 6.2, and have since presented several classes that implement the
queue interface (e.g., ArrayQueue in Section 6.2.2, LinkedQueue in Section 7.1.2,
CircularQueue in Section 7.2.2). However, we never gave any formal definition of
the queue ADT in Python; all of the concrete implementations were self-contained
classes that just happen to adhere to the same public interface. A more formal
mechanism to designate the relationships between different implementations of the
same abstraction is through the definition of one class that serves as an abstract
base class, via inheritance, for one or more concrete classes. (See Section 2.4.3.)
We choose to define a Tree class, in Code Fragment 8.1, that serves as an abstract base class corresponding to the tree ADT. Our reason for doing so is that there
is quite a bit of useful code that we can provide, even at this level of abstraction, allowing greater code reuse in the concrete tree implementations we later define. The
Tree class provides a definition of a nested Position class (which is also abstract),
and declarations of many of the accessor methods included in the tree ADT.
However, our Tree class does not define any internal representation for storing a tree, and five of the methods given in that code fragment remain abstract
(root, parent, num children, children, and len ); each of these methods raises a
NotImplementedError. (A more formal approach for defining abstract base classes
and abstract methods, using Python’s abc module, is described in Section 2.4.3.)
The subclasses are responsible for overriding abstract methods, such as children, to
provide a working implementation for each behavior, based on their chosen internal
representation.
Although the Tree class is an abstract base class, it includes several concrete
methods with implementations that rely on calls to the abstract methods of the class.
In defining the tree ADT in the previous section, we declare ten accessor methods.
Five of those are the ones we left as abstract, in Code Fragment 8.1. The other five
can be implemented based on the former. Code Fragment 8.2 provides concrete
implementations for methods is root, is leaf, and is empty. In Section 8.4, we will
explore general algorithms for traversing a tree that can be used to provide concrete
implementations of the positions and iter methods within the Tree class. The
beauty of this design is that the concrete methods defined within the Tree abstract
base class will be inherited by all subclasses. This promotes greater code reuse, as
there will be no need for those subclasses to reimplement such behaviors.
We note that, with the Tree class being abstract, there is no reason to create a
direct instance of it, nor would such an instance be useful. The class exists to serve
as a base for inheritance, and users will create instances of concrete subclasses.
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8.1. General Trees
307
1 class Tree:
2
”””Abstract base class representing a tree structure.”””
3
4
#------------------------------- nested Position class ------------------------------5
class Position:
6
”””An abstraction representing the location of a single element.”””
7
8
def element(self):
9
”””Return the element stored at this Position.”””
10
raise NotImplementedError( must be implemented by subclass )
11
12
def eq (self, other):
13
”””Return True if other Position represents the same location.”””
14
raise NotImplementedError( must be implemented by subclass )
15
16
def ne (self, other):
17
”””Return True if other does not represent the same location.”””
18
return not (self == other)
# opposite of eq
19
20
# ---------- abstract methods that concrete subclass must support ---------21
def root(self):
22
”””Return Position representing the tree s root (or None if empty).”””
23
raise NotImplementedError( must be implemented by subclass )
24
25
def parent(self, p):
26
”””Return Position representing p s parent (or None if p is root).”””
27
raise NotImplementedError( must be implemented by subclass )
28
29
def num children(self, p):
30
”””Return the number of children that Position p has.”””
31
raise NotImplementedError( must be implemented by subclass )
32
33
def children(self, p):
34
”””Generate an iteration of Positions representing p s children.”””
35
raise NotImplementedError( must be implemented by subclass )
36
37
def len (self):
38
”””Return the total number of elements in the tree.”””
39
raise NotImplementedError( must be implemented by subclass )
Code Fragment 8.1: A portion of our Tree abstract base class (continued in Code
Fragment 8.2).
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Chapter 8. Trees
308
40
41
42
43
44
45
46
47
48
49
50
51
# ---------- concrete methods implemented in this class ---------def is root(self, p):
”””Return True if Position p represents the root of the tree.”””
return self.root( ) == p
def is leaf(self, p):
”””Return True if Position p does not have any children.”””
return self.num children(p) == 0
def is empty(self):
”””Return True if the tree is empty.”””
return len(self) == 0
Code Fragment 8.2: Some concrete methods of our Tree abstract base class.
8.1.3 Computing Depth and Height
Let p be the position of a node of a tree T . The depth of p is the number of
ancestors of p, excluding p itself. For example, in the tree of Figure 8.2, the node
storing International has depth 2. Note that this definition implies that the depth of
the root of T is 0. The depth of p can also be recursively defined as follows:
• If p is the root, then the depth of p is 0.
• Otherwise, the depth of p is one plus the depth of the parent of p.
Based on this definition, we present a simple, recursive algorithm, depth, in Code
Fragment 8.3, for computing the depth of a position p in Tree T . This method calls
itself recursively on the parent of p, and adds 1 to the value returned.
52
53
54
55
56
57
def depth(self, p):
”””Return the number of levels separating Position p from the root.”””
if self.is root(p):
return 0
else:
return 1 + self.depth(self.parent(p))
Code Fragment 8.3: Method depth of the Tree class.
The running time of T.depth(p) for position p is O(d p + 1), where d p denotes
the depth of p in the tree T , because the algorithm performs a constant-time recursive step for each ancestor of p. Thus, algorithm T.depth(p) runs in O(n) worstcase time, where n is the total number of positions of T , because a position of T
may have depth n − 1 if all nodes form a single branch. Although such a running
time is a function of the input size, it is more informative to characterize the running
time in terms of the parameter d p , as this parameter may be much smaller than n.
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8.1. General Trees
309
Height
The height of a position p in a tree T is also defined recursively:
• If p is a leaf, then the height of p is 0.
• Otherwise, the height of p is one more than the maximum of the heights of
p’s children.
The height of a nonempty tree T is the height of the root of T . For example, the
tree of Figure 8.2 has height 4. In addition, height can also be viewed as follows.
Proposition 8.4: The height of a nonempty tree T is equal to the maximum of
the depths of its leaf positions.
We leave the justification of this fact to an exercise (R-8.3). We present an
algorithm, height1, implemented in Code Fragment 8.4 as a nonpublic method
height1 of the Tree class. It computes the height of a nonempty tree T based on
Proposition 8.4 and the algorithm depth from Code Fragment 8.3.
58
59
60
# works, but O(nˆ2) worst-case time
def height1(self):
”””Return the height of the tree.”””
return max(self.depth(p) for p in self.positions( ) if self.is leaf(p))
Code Fragment 8.4: Method height1 of the Tree class. Note that this method calls
the depth method.
Unfortunately, algorithm height1 is not very efficient. We have not yet defined
the positions( ) method; we will see that it can be implemented to run in O(n) time,
where n is the number of positions of T . Because height1 calls algorithm depth(p)
on each leaf of T , its running time is O(n + ∑ p∈L (d p + 1)), where L is the set of
leaf positions of T . In the worst case, the sum ∑ p∈L (d p + 1) is proportional to n2 .
(See Exercise C-8.33.) Thus, algorithm height1 runs in O(n2 ) worst-case time.
We can compute the height of a tree more efficiently, in O(n) worst-case time,
by relying instead on the original recursive definition. To do this, we will parameterize a function based on a position within the tree, and calculate the height of
the subtree rooted at that position. Algorithm height2, shown as nonpublic method
height2 in Code Fragment 8.5, computes the height of tree T in this way.
61
62
63
64
65
66
# time is linear in size of subtree
def height2(self, p):
”””Return the height of the subtree rooted at Position p.”””
if self.is leaf(p):
return 0
else:
return 1 + max(self. height2(c) for c in self.children(p))
Code Fragment 8.5: Method height2 for computing the height of a subtree rooted
at a position p of a Tree.
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Chapter 8. Trees
310
It is important to understand why algorithm height2 is more efficient than
height1. The algorithm is recursive, and it progresses in a top-down fashion. If
the method is initially called on the root of T , it will eventually be called once for
each position of T . This is because the root eventually invokes the recursion on
each of its children, which in turn invokes the recursion on each of their children,
and so on.
We can determine the running time of the height2 algorithm by summing, over
all the positions, the amount of time spent on the nonrecursive part of each call.
(Review Section 4.2 for analyses of recursive processes.) In our implementation,
there is a constant amount of work per position, plus the overhead of computing the
maximum over the iteration of children. Although we do not yet have a concrete
implementation of children(p), we assume that such an iteration is generated in
O(c p + 1) time, where c p denotes the number of children of p. Algorithm height2
spends O(c p + 1) time at each position p to compute the maximum, and its overall
running time is O(∑ p (c p + 1)) = O(n + ∑ p c p ). In order to complete the analysis,
we make use of the following property.
Proposition 8.5: Let T be a tree with n positions, and let c p denote the number of
children of a position p of T . Then, summing over the positions of T , ∑ p c p = n− 1.
Justification: Each position of T , with the exception of the root, is a child of
another position, and thus contributes one unit to the above sum.
By Proposition 8.5, the running time of algorithm height2, when called on the
root of T , is O(n), where n is the number of positions of T .
Revisiting the public interface for our Tree class, the ability to compute heights
of subtrees is beneficial, but a user might expect to be able to compute the height
of the entire tree without explicitly designating the tree root. We can wrap the nonpublic height2 in our implementation with a public height method that provides
a default interpretation when invoked on tree T with syntax T.height( ). Such an
implementation is given in Code Fragment 8.6.
67
68
69
70
71
72
73
74
def height(self, p=None):
”””Return the height of the subtree rooted at Position p.
If p is None, return the height of the entire tree.
”””
if p is None:
p = self.root( )
# start height2 recursion
return self. height2(p)
Code Fragment 8.6: Public method Tree.height that computes the height of the
entire tree by default, or a subtree rooted at given position, if specified.
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8.2. Binary Trees
8.2
311
Binary Trees
A binary tree is an ordered tree with the following properties:
1. Every node has at most two children.
2. Each child node is labeled as being either a left child or a right child.
3. A left child precedes a right child in the order of children of a node.
The subtree rooted at a left or right child of an internal node v is called a left subtree
or right subtree, respectively, of v. A binary tree is proper if each node has either
zero or two children. Some people also refer to such trees as being full binary
trees. Thus, in a proper binary tree, every internal node has exactly two children.
A binary tree that is not proper is improper.
Example 8.6: An important class of binary trees arises in contexts where we wish
to represent a number of different outcomes that can result from answering a series
of yes-or-no questions. Each internal node is associated with a question. Starting at
the root, we go to the left or right child of the current node, depending on whether
the answer to the question is “Yes” or “No.” With each decision, we follow an
edge from a parent to a child, eventually tracing a path in the tree from the root
to a leaf. Such binary trees are known as decision trees, because a leaf position p
in such a tree represents a decision of what to do if the questions associated with
p’s ancestors are answered in a way that leads to p. A decision tree is a proper
binary tree. Figure 8.7 illustrates a decision tree that provides recommendations to
a prospective investor.
Are you nervous?
Yes
No
Will you need to access most of the
money within the next 5 years?
Savings account.
Yes
No
Are you willing to accept risks in
exchange for higher expected returns?
Money market fund.
Yes
Stock portfolio.
No
Diversified portfolio with stocks,
bonds, and short-term instruments.
Figure 8.7: A decision tree providing investment advice.
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Chapter 8. Trees
312
Example 8.7: An arithmetic expression can be represented by a binary tree whose
leaves are associated with variables or constants, and whose internal nodes are
associated with one of the operators +, −, ×, and /. (See Figure 8.8.) Each node
in such a tree has a value associated with it.
• If a node is leaf, then its value is that of its variable or constant.
• If a node is internal, then its value is defined by applying its operation to the
values of its children.
An arithmetic expression tree is a proper binary tree, since each operator +, −, ×,
and / takes exactly two operands. Of course, if we were to allow unary operators,
like negation (−), as in “−x,” then we could have an improper binary tree.
−
/
+
+
×
+
3
−
3
1
9
×
2
6
−
3
5
7
4
Figure 8.8: A binary tree representing an arithmetic expression. This tree represents
the expression ((((3 + 1) × 3)/((9 − 5) + 2)) − ((3 × (7 − 4)) + 6)). The value
associated with the internal node labeled “/” is 2.
A Recursive Binary Tree Definition
Incidentally, we can also define a binary tree in a recursive way such that a binary
tree is either empty or consists of:
• A node r, called the root of T , that stores an element
• A binary tree (possibly empty), called the left subtree of T
• A binary tree (possibly empty), called the right subtree of T
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8.2. Binary Trees
313
8.2.1 The Binary Tree Abstract Data Type
As an abstract data type, a binary tree is a specialization of a tree that supports three
additional accessor methods:
T.left(p): Return the position that represents the left child of p,
or None if p has no left child.
T.right(p): Return the position that represents the right child of p,
or None if p has no right child.
T.sibling(p): Return the position that represents the sibling of p,
or None if p has no sibling.
Just as in Section 8.1.2 for the tree ADT, we do not define specialized update methods for binary trees here. Instead, we will consider some possible update methods
when we describe specific implementations and applications of binary trees.
The BinaryTree Abstract Base Class in Python
Just as Tree was defined as an abstract base class in Section 8.1.2, we define a
new BinaryTree class associated with the binary tree ADT. We rely on inheritance
to define the BinaryTree class based upon the existing Tree class. However, our
BinaryTree class remains abstract, as we still do not provide complete specifications for how such a structure will be represented internally, nor implementations
for some necessary behaviors.
Our Python implementation of the BinaryTree class is given in Code Fragment 8.7. By using inheritance, a binary tree supports all the functionality that was
defined for general trees (e.g., parent, is leaf, root). Our new class also inherits the
nested Position class that was originally defined within the Tree class definition.
In addition, the new class provides declarations for new abstract methods left and
right that should be supported by concrete subclasses of BinaryTree.
Our new class also provides two concrete implementations of methods. The
new sibling method is derived from the combination of left, right, and parent. Typically, we identify the sibling of a position p as the “other” child of p’s parent.
However, if p is the root, it has no parent, and thus no sibling. Also, p may be the
only child of its parent, and thus does not have a sibling.
Finally, Code Fragment 8.7 provides a concrete implementation of the children
method; this method is abstract in the Tree class. Although we have still not specified how the children of a node will be stored, we derive a generator for the ordered
children based upon the implied behavior of abstract methods left and right.
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Chapter 8. Trees
314
1 class BinaryTree(Tree):
2
”””Abstract base class representing a binary tree structure.”””
3
4
# --------------------- additional abstract methods --------------------5
def left(self, p):
6
”””Return a Position representing p s left child.
7
8
Return None if p does not have a left child.
9
”””
10
raise NotImplementedError( must be implemented by subclass )
11
12
def right(self, p):
13
”””Return a Position representing p s right child.
14
15
Return None if p does not have a right child.
16
”””
17
raise NotImplementedError( must be implemented by subclass )
18
19
# ---------- concrete methods implemented in this class ---------20
def sibling(self, p):
21
”””Return a Position representing p s sibling (or None if no sibling).”””
22
parent = self.parent(p)
23
if parent is None:
# p must be the root
24
return None
# root has no sibling
25
else:
26
if p == self.left(parent):
27
return self.right(parent)
# possibly None
28
else:
29
return self.left(parent)
# possibly None
30
31
def children(self, p):
32
”””Generate an iteration of Positions representing p s children.”””
33
if self.left(p) is not None:
34
yield self.left(p)
35
if self.right(p) is not None:
36
yield self.right(p)
Code Fragment 8.7: A BinaryTree abstract base class that extends the existing Tree
abstract base class from Code Fragments 8.1 and 8.2.
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8.2. Binary Trees
315
8.2.2 Properties of Binary Trees
Binary trees have several interesting properties dealing with relationships between
their heights and number of nodes. We denote the set of all nodes of a tree T at the
same depth d as level d of T . In a binary tree, level 0 has at most one node (the
root), level 1 has at most two nodes (the children of the root), level 2 has at most
four nodes, and so on. (See Figure 8.9.) In general, level d has at most 2d nodes.
0
1
1
2
2
4
3
8
...
...
...
Nodes
...
Level
Figure 8.9: Maximum number of nodes in the levels of a binary tree.
We can see that the maximum number of nodes on the levels of a binary tree
grows exponentially as we go down the tree. From this simple observation, we can
derive the following properties relating the height of a binary tree T with its number
of nodes. A detailed justification of these properties is left as Exercise R-8.8.
Proposition 8.8: Let T be a nonempty binary tree, and let n, nE , nI and h denote
the number of nodes, number of external nodes, number of internal nodes, and
height of T , respectively. Then T has the following properties:
1. h + 1 ≤ n ≤ 2h+1 − 1
2. 1 ≤ nE ≤ 2h
3. h ≤ nI ≤ 2h − 1
4. log(n + 1) − 1 ≤ h ≤ n − 1
Also, if T is proper, then T has the following properties:
1. 2h + 1 ≤ n ≤ 2h+1 − 1
2. h + 1 ≤ nE ≤ 2h
3. h ≤ nI ≤ 2h − 1
4. log(n + 1) − 1 ≤ h ≤ (n − 1)/2
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Chapter 8. Trees
316
Relating Internal Nodes to External Nodes in a Proper Binary Tree
In addition to the earlier binary tree properties, the following relationship exists
between the number of internal nodes and external nodes in a proper binary tree.
Proposition 8.9: In a nonempty proper binary tree T , with nE external nodes and
nI internal nodes, we have nE = nI + 1.
Justification: We justify this proposition by removing nodes from T and dividing them up into two “piles,” an internal-node pile and an external-node pile, until
T becomes empty. The piles are initially empty. By the end, we will show that the
external-node pile has one more node than the internal-node pile. We consider two
cases:
Case 1: If T has only one node v, we remove v and place it on the external-node
pile. Thus, the external-node pile has one node and the internal-node pile is
empty.
Case 2: Otherwise (T has more than one node), we remove from T an (arbitrary)
external node w and its parent v, which is an internal node. We place w on
the external-node pile and v on the internal-node pile. If v has a parent u,
then we reconnect u with the former sibling z of w, as shown in Figure 8.10.
This operation, removes one internal node and one external node, and leaves
the tree being a proper binary tree.
Repeating this operation, we eventually are left with a final tree consisting
of a single node. Note that the same number of external and internal nodes
have been removed and placed on their respective piles by the sequence of
operations leading to this final tree. Now, we remove the node of the final
tree and we place it on the external-node pile. Thus, the the external-node
pile has one more node than the internal-node pile.
u
u
v
z
u
z
w
(a)
z
(b)
(c)
Figure 8.10: Operation that removes an external node and its parent node, used in
the justification of Proposition 8.9.
Note that the above relationship does not hold, in general, for improper binary
trees and nonbinary trees, although there are other interesting relationships that do
hold. (See Exercises C-8.32 through C-8.34.)
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8.3. Implementing Trees
8.3
317
Implementing Trees
The Tree and BinaryTree classes that we have defined thus far in this chapter are
both formally abstract base classes. Although they provide a great deal of support,
neither of them can be directly instantiated. We have not yet defined key implementation details for how a tree will be represented internally, and how we can
effectively navigate between parents and children. Specifically, a concrete implementation of a tree must provide methods root, parent, num children, children,
len , and in the case of BinaryTree, the additional accessors left and right.
There are several choices for the internal representation of trees. We describe
the most common representations in this section. We begin with the case of a
binary tree, since its shape is more narrowly defined.
8.3.1 Linked Structure for Binary Trees
A natural way to realize a binary tree T is to use a linked structure, with a node
(see Figure 8.11a) that maintains references to the element stored at a position p
and to the nodes associated with the children and parent of p. If p is the root of
T , then the parent field of p is None. Likewise, if p does not have a left child
(respectively, right child), the associated field is None. The tree itself maintains an
instance variable storing a reference to the root node (if any), and a variable, called
size, that represents the overall number of nodes of T . We show such a linked
structure representation of a binary tree in Figure 8.11b.
∅
root
5
size
∅
parent
∅
left
right
Baltimore
∅
Chicago
∅
∅
∅
New York
Providence
Seattle
element
(a)
(b)
Figure 8.11: A linked structure for representing: (a) a single node; (b) a binary tree.
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Chapter 8. Trees
318
Python Implementation of a Linked Binary Tree Structure
In this section, we define a concrete LinkedBinaryTree class that implements the
binary tree ADT by subclassing the BinaryTree class. Our general approach is very
similar to what we used when developing the PositionalList in Section 7.4: We
define a simple, nonpublic Node class to represent a node, and a public Position
class that wraps a node. We provide a validate utility for robustly checking the
validity of a given position instance when unwrapping it, and a make position
utility for wrapping a node as a position to return to a caller.
Those definitions are provided in Code Fragment 8.8. As a formality, the new
Position class is declared to inherit immediately from BinaryTree.Position. Technically, the BinaryTree class definition (see Code Fragment 8.7) does not formally
declare such a nested class; it trivially inherits it from Tree.Position. A minor benefit from this design is that our position class inherits the ne special method
so that syntax p != q is derived appropriately relative to eq .
Our class definition continues, in Code Fragment 8.9, with a constructor and
with concrete implementations for the methods that remain abstract in the Tree and
BinaryTree classes. The constructor creates an empty tree by initializing root to
None and size to zero. These accessor methods are implemented with careful use
of the validate and make position utilities to safeguard against boundary cases.
Operations for Updating a Linked Binary Tree
Thus far, we have provided functionality for examining an existing binary tree.
However, the constructor for our LinkedBinaryTree class results in an empty tree
and we have not provided any means for changing the structure or content of a tree.
We chose not to declare update methods as part of the Tree or BinaryTree abstract base classes for several reasons. First, although the principle of encapsulation suggests that the outward behaviors of a class need not depend on the internal
representation, the efficiency of the operations depends greatly upon the representation. We prefer to have each concrete implementation of a tree class offer the most
suitable options for updating a tree.
The second reason we do not provide update methods in the base class is that
we may not want such update methods to be part of a public interface. There are
many applications of trees, and some forms of update operations that are suitable
for one application may be unacceptable in another. However, if we place an update
method in a base class, any class that inherits from that base will inherit the update
method. Consider, for example, the possibility of a method T.replace(p, e) that
replaces the element stored at position p with another element e. Such a general
method may be unacceptable in the context of an arithmetic expression tree (see
Example 8.7 on page 312, and a later case study in Section 8.5), because we may
want to enforce that internal nodes store only operators as elements.
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8.3. Implementing Trees
319
For linked binary trees, a reasonable set of update methods to support for general usage are the following:
T.add root(e): Create a root for an empty tree, storing e as the element,
and return the position of that root; an error occurs if the
tree is not empty.
T.add left(p, e): Create a new node storing element e, link the node as the
left child of position p, and return the resulting position;
an error occurs if p already has a left child.
T.add right(p, e): Create a new node storing element e, link the node as the
right child of position p, and return the resulting position;
an error occurs if p already has a right child.
T.replace(p, e): Replace the element stored at position p with element e,
and return the previously stored element.
T.delete(p): Remove the node at position p, replacing it with its child,
if any, and return the element that had been stored at p;
an error occurs if p has two children.
T.attach(p, T1, T2): Attach the internal structure of trees T1 and T2, respectively, as the left and right subtrees of leaf position p of
T, and reset T1 and T2 to empty trees; an error condition
occurs if p is not a leaf.
We have specifically chosen this collection of operations because each can be
implemented in O(1) worst-case time with our linked representation. The most
complex of these are delete and attach, due to the case analyses involving the
various parent-child relationships and boundary conditions, yet there remains only
a constant number of operations to perform. (The implementation of both methods
could be greatly simplified if we used a tree representation with a sentinel node,
akin to our treatment of positional lists; see Exercise C-8.40).
To avoid the problem of undesirable update methods being inherited by subclasses of LinkedBinaryTree, we have chosen an implementation in which none
of the above methods are publicly supported. Instead, we provide nonpublic versions of each, for example, providing the underscored delete in lieu of a public
delete. Our implementations of these six update methods are provided in Code
Fragments 8.10 and 8.11.
In particular applications, subclasses of LinkedBinaryTree can invoke the nonpublic methods internally, while preserving a public interface that is appropriate
for the application. A subclass may also choose to wrap one or more of the nonpublic update methods with a public method to expose it to the user. We leave as
an exercise (R-8.15), the task of defining a MutableLinkedBinaryTree subclass that
provides public methods wrapping each of these six update methods.
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Chapter 8. Trees
320
1 class LinkedBinaryTree(BinaryTree):
2
”””Linked representation of a binary tree structure.”””
3
# Lightweight, nonpublic class for storing a node.
4
class Node:
slots = _element , _parent , _left , _right
5
6
def init (self, element, parent=None, left=None, right=None):
7
self. element = element
8
self. parent = parent
9
self. left = left
10
self. right = right
11
12
class Position(BinaryTree.Position):
13
”””An abstraction representing the location of a single element.”””
14
15
def init (self, container, node):
16
”””Constructor should not be invoked by user.”””
17
self. container = container
18
self. node = node
19
20
def element(self):
21
”””Return the element stored at this Position.”””
22
return self. node. element
23
24
def eq (self, other):
25
”””Return True if other is a Position representing the same location.”””
26
return type(other) is type(self) and other. node is self. node
27
28
def validate(self, p):
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”””Return associated node, if position is valid.”””
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if not isinstance(p, self.Position):
31
raise TypeError( p must be proper Position type )
32
if p. container is not self:
33
raise ValueError( p does not belong to this container )
# convention for deprecated nodes
34
if p. node. parent is p. node:
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raise ValueError( p is no longer valid )
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return p. node
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def make position(self, node):
39
”””Return Position instance for given node (or None if no node).”””
40
return self.Position(self, node) if node is not None else None
Code Fragment 8.8: The beginning of our LinkedBinaryTree class (continued in
Code Fragments 8.9 through 8.11).
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#-------------------------- binary tree constructor -------------------------def init (self):
”””Create an initially empty binary tree.”””
self. root = None
self. size = 0
#-------------------------- public accessors -------------------------def len (self):
”””Return the total number of elements in the tree.”””
return self. size
def root(self):
”””Return the root Position of the tree (or None if tree is empty).”””
return self. make position(self. root)
def parent(self, p):
”””Return the Position of p s parent (or None if p is root).”””
node = self. validate(p)
return self. make position(node. parent)
def left(self, p):
”””Return the Position of p s left child (or None if no left child).”””
node = self. validate(p)
return self. make position(node. left)
def right(self, p):
”””Return the Position of p s right child (or None if no right child).”””
node = self. validate(p)
return self. make position(node. right)
def num children(self, p):
”””Return the number of children of Position p.”””
node = self. validate(p)
count = 0
# left child exists
if node. left is not None:
count += 1
# right child exists
if node. right is not None:
count += 1
return count
Code Fragment 8.9: Public accessors for our LinkedBinaryTree class. The class
begins in Code Fragment 8.8 and continues in Code Fragments 8.10 and 8.11.
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def add root(self, e):
”””Place element e at the root of an empty tree and return new Position.
Raise ValueError if tree nonempty.
”””
if self. root is not None: raise ValueError( Root exists )
self. size = 1
self. root = self. Node(e)
return self. make position(self. root)
def add left(self, p, e):
”””Create a new left child for Position p, storing element e.
Return the Position of new node.
Raise ValueError if Position p is invalid or p already has a left child.
”””
node = self. validate(p)
if node. left is not None: raise ValueError( Left child exists )
self. size += 1
# node is its parent
node. left = self. Node(e, node)
return self. make position(node. left)
def add right(self, p, e):
”””Create a new right child for Position p, storing element e.
Return the Position of new node.
Raise ValueError if Position p is invalid or p already has a right child.
”””
node = self. validate(p)
if node. right is not None: raise ValueError( Right child exists )
self. size += 1
# node is its parent
node. right = self. Node(e, node)
return self. make position(node. right)
def replace(self, p, e):
”””Replace the element at position p with e, and return old element.”””
node = self. validate(p)
old = node. element
node. element = e
return old
Code Fragment 8.10: Nonpublic update methods for the LinkedBinaryTree class
(continued in Code Fragment 8.11).
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def delete(self, p):
”””Delete the node at Position p, and replace it with its child, if any.
Return the element that had been stored at Position p.
Raise ValueError if Position p is invalid or p has two children.
”””
node = self. validate(p)
if self.num children(p) == 2: raise ValueError( p has two children )
# might be None
child = node. left if node. left else node. right
if child is not None:
# child s grandparent becomes parent
child. parent = node. parent
if node is self. root:
# child becomes root
self. root = child
else:
parent = node. parent
if node is parent. left:
parent. left = child
else:
parent. right = child
self. size −= 1
# convention for deprecated node
node. parent = node
return node. element
def attach(self, p, t1, t2):
”””Attach trees t1 and t2 as left and right subtrees of external p.”””
node = self. validate(p)
if not self.is leaf(p): raise ValueError( position must be leaf )
if not type(self) is type(t1) is type(t2): # all 3 trees must be same type
raise TypeError( Tree types must match )
self. size += len(t1) + len(t2)
# attached t1 as left subtree of node
if not t1.is empty( ):
t1. root. parent = node
node. left = t1. root
# set t1 instance to empty
t1. root = None
t1. size = 0
# attached t2 as right subtree of node
if not t2.is empty( ):
t2. root. parent = node
node. right = t2. root
# set t2 instance to empty
t2. root = None
t2. size = 0
Code Fragment 8.11: Nonpublic update methods for the LinkedBinaryTree class
(continued from Code Fragment 8.10).
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Performance of the Linked Binary Tree Implementation
To summarize the efficiencies of the linked structure representation, we analyze the
running times of the LinkedBinaryTree methods, including derived methods that
are inherited from the Tree and BinaryTree classes:
• The len method, implemented in LinkedBinaryTree, uses an instance variable
storing the number of nodes of T and takes O(1) time. Method is empty,
inherited from Tree, relies on a single call to len and thus takes O(1) time.
• The accessor methods root, left, right, parent, and num children are implemented directly in LinkedBinaryTree and take O(1) time. The sibling and
children methods are derived in BinaryTree based on a constant number of
calls to these other accessors, so they run in O(1) time as well.
• The is root and is leaf methods, from the Tree class, both run in O(1) time,
as is root calls root and then relies on equivalence testing of positions, while
is leaf calls left and right and verifies that None is returned by both.
• Methods depth and height were each analyzed in Section 8.1.3. The depth
method at position p runs in O(d p + 1) time where d p is its depth; the height
method on the root of the tree runs in O(n) time.
• The various update methods add root, add left, add right, replace, delete,
and attach (that is, their nonpublic implementations) each run in O(1) time,
as they involve relinking only a constant number of nodes per operation.
Table 8.1 summarizes the performance of the linked structure implementation of a
binary tree.
Operation
len, is empty
root, parent, left, right, sibling, children, num children
is root, is leaf
depth(p)
height
add root, add left, add right, replace, delete, attach
Running Time
O(1)
O(1)
O(1)
O(d p + 1)
O(n)
O(1)
Table 8.1: Running times for the methods of an n-node binary tree implemented
with a linked structure. The space usage is O(n).
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8.3.2 Array-Based Representation of a Binary Tree
An alternative representation of a binary tree T is based on a way of numbering the
positions of T . For every position p of T , let f (p) be the integer defined as follows.
• If p is the root of T , then f (p) = 0.
• If p is the left child of position q, then f (p) = 2 f (q) + 1.
• If p is the right child of position q, then f (p) = 2 f (q) + 2.
The numbering function f is known as a level numbering of the positions in a
binary tree T , for it numbers the positions on each level of T in increasing order
from left to right. (See Figure 8.12.) Note well that the level numbering is based
on potential positions within the tree, not actual positions of a given tree, so they
are not necessarily consecutive. For example, in Figure 8.12(b), there are no nodes
with level numbering 13 or 14, because the node with level numbering 6 has no
children.
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(a)
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Figure 8.12: Binary tree level numbering: (a) general scheme; (b) an example.
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The level numbering function f suggests a representation of a binary tree T
by means of an array-based structure A (such as a Python list), with the element
at position p of T stored at index f (p) of the array. We show an example of an
array-based representation of a binary tree in Figure 8.13.
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Figure 8.13: Representation of a binary tree by means of an array.
One advantage of an array-based representation of a binary tree is that a position p can be represented by the single integer f (p), and that position-based methods such as root, parent, left, and right can be implemented using simple arithmetic
operations on the number f (p). Based on our formula for the level numbering, the
left child of p has index 2 f (p) + 1, the right child of p has index 2 f (p) + 2, and
the parent of p has index ( f (p) − 1)/2. We leave the details of a complete implementation as an exercise (R-8.18).
The space usage of an array-based representation depends greatly on the shape
of the tree. Let n be the number of nodes of T , and let fM be the maximum value
of f (p) over all the nodes of T . The array A requires length N = 1 + fM , since
elements range from A[0] to A[ fM ]. Note that A may have a number of empty cells
that do not refer to existing nodes of T . In fact, in the worst case, N = 2n − 1,
the justification of which is left as an exercise (R-8.16). In Section 9.3, we will
see a class of binary trees, called “heaps” for which N = n. Thus, in spite of the
worst-case space usage, there are applications for which the array representation
of a binary tree is space efficient. Still, for general binary trees, the exponential
worst-case space requirement of this representation is prohibitive.
Another drawback of an array representation is that some update operations for
trees cannot be efficiently supported. For example, deleting a node and promoting
its child takes O(n) time because it is not just the child that moves locations within
the array, but all descendants of that child.
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8.3.3 Linked Structure for General Trees
When representing a binary tree with a linked structure, each node explicitly maintains fields left and right as references to individual children. For a general tree,
there is no a priori limit on the number of children that a node may have. A natural
way to realize a general tree T as a linked structure is to have each node store a
single container of references to its children. For example, a children field of a
node can be a Python list of references to the children of the node (if any). Such a
linked representation is schematically illustrated in Figure 8.14.
New York
parent
element
Baltimore
Chicago
Providence
children
(a)
Seattle
(b)
Figure 8.14: The linked structure for a general tree: (a) the structure of a node; (b) a
larger portion of the data structure associated with a node and its children.
Table 8.2 summarizes the performance of the implementation of a general tree
using a linked structure. The analysis is left as an exercise (R-8.14), but we note
that, by using a collection to store the children of each position p, we can implement
children(p) by simply iterating that collection.
Operation
len, is empty
root, parent, is root, is leaf
children(p)
depth(p)
height
Running Time
O(1)
O(1)
O(c p + 1)
O(d p + 1)
O(n)
Table 8.2: Running times of the accessor methods of an n-node general tree implemented with a linked structure. We let c p denote the number of children of a
position p. The space usage is O(n).
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8.4
Tree Traversal Algorithms
A traversal of a tree T is a systematic way of accessing, or “visiting,” all the positions of T . The specific action associated with the “visit” of a position p depends
on the application of this traversal, and could involve anything from incrementing a counter to performing some complex computation for p. In this section, we
describe several common traversal schemes for trees, implement them in the context of our various tree classes, and discuss several common applications of tree
traversals.
8.4.1 Preorder and Postorder Traversals of General Trees
In a preorder traversal of a tree T , the root of T is visited first and then the subtrees rooted at its children are traversed recursively. If the tree is ordered, then
the subtrees are traversed according to the order of the children. The pseudo-code
for the preorder traversal of the subtree rooted at a position p is shown in Code
Fragment 8.12.
Algorithm preorder(T, p):
perform the “visit” action for position p
for each child c in T.children(p) do
preorder(T, c)
{recursively traverse the subtree rooted at c}
Code Fragment 8.12: Algorithm preorder for performing the preorder traversal of a
subtree rooted at position p of a tree T.
Figure 8.15 portrays the order in which positions of a sample tree are visited
during an application of the preorder traversal algorithm.
Paper
Title
Abstract
§ 1.1
§1
§2
§ 1.2
§ 2.1
§ 2.2
§3
§ 2.3
§ 3.1
References
§ 3.2
Figure 8.15: Preorder traversal of an ordered tree, where the children of each position are ordered from left to right.
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329
Postorder Traversal
Another important tree traversal algorithm is the postorder traversal. In some
sense, this algorithm can be viewed as the opposite of the preorder traversal, because it recursively traverses the subtrees rooted at the children of the root first, and
then visits the root (hence, the name “postorder”). Pseudo-code for the postorder
traversal is given in Code Fragment 8.13, and an example of a postorder traversal
is portrayed in Figure 8.16.
Algorithm postorder(T, p):
for each child c in T.children(p) do
postorder(T, c)
{recursively traverse the subtree rooted at c}
perform the “visit” action for position p
Code Fragment 8.13: Algorithm postorder for performing the postorder traversal of
a subtree rooted at position p of a tree T.
Paper
Title
Abstract
§ 1.1
§1
§2
§ 1.2
§ 2.1
§ 2.2
§3
§ 2.3
§ 3.1
References
§ 3.2
Figure 8.16: Postorder traversal of the ordered tree of Figure 8.15.
Running-Time Analysis
Both preorder and postorder traversal algorithms are efficient ways to access all the
positions of a tree. The analysis of either of these traversal algorithms is similar to
that of algorithm height2, given in Code Fragment 8.5 of Section 8.1.3. At each
position p, the nonrecursive part of the traversal algorithm requires time O(c p + 1),
where c p is the number of children of p, under the assumption that the “visit” itself
takes O(1) time. By Proposition 8.5, the overall running time for the traversal of
tree T is O(n), where n is the number of positions in the tree. This running time is
asymptotically optimal since the traversal must visit all the n positions of the tree.
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8.4.2 Breadth-First Tree Traversal
Although the preorder and postorder traversals are common ways of visiting the
positions of a tree, another common approach is to traverse a tree so that we visit
all the positions at depth d before we visit the positions at depth d + 1. Such an
algorithm is known as a breadth-first traversal.
A breadth-first traversal is a common approach used in software for playing
games. A game tree represents the possible choices of moves that might be made
by a player (or computer) during a game, with the root of the tree being the initial
configuration for the game. For example, Figure 8.17 displays a partial game tree
for Tic-Tac-Toe.
1
2
3X
X
4
X
O
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O
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X O
X
O
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O X
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Figure 8.17: Partial game tree for Tic-Tac-Toe, with annotations displaying the order in which positions are visited in a breadth-first traversal.
A breadth-first traversal of such a game tree is often performed because a computer
may be unable to explore a complete game tree in a limited amount of time. So the
computer will consider all moves, then responses to those moves, going as deep as
computational time allows.
Pseudo-code for a breadth-first traversal is given in Code Fragment 8.14. The
process is not recursive, since we are not traversing entire subtrees at once. We use
a queue to produce a FIFO (i.e., first-in first-out) semantics for the order in which
we visit nodes. The overall running time is O(n), due to the n calls to enqueue and
n calls to dequeue.
Algorithm breadthfirst(T):
Initialize queue Q to contain T.root( )
while Q not empty do
p = Q.dequeue( )
{p is the oldest entry in the queue}
perform the “visit” action for position p
for each child c in T.children(p) do
Q.enqueue(c)
{add p’s children to the end of the queue for later visits}
Code Fragment 8.14: Algorithm for performing a breadth-first traversal of a tree.
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8.4.3 Inorder Traversal of a Binary Tree
The standard preorder, postorder, and breadth-first traversals that were introduced
for general trees, can be directly applied to binary trees. In this section, we introduce another common traversal algorithm specifically for a binary tree.
During an inorder traversal, we visit a position between the recursive traversals of its left and right subtrees. The inorder traversal of a binary tree T can be
informally viewed as visiting the nodes of T “from left to right.” Indeed, for every
position p, the inorder traversal visits p after all the positions in the left subtree of
p and before all the positions in the right subtree of p. Pseudo-code for the inorder
traversal algorithm is given in Code Fragment 8.15, and an example of an inorder
traversal is portrayed in Figure 8.18.
Algorithm inorder(p):
if p has a left child lc then
inorder(lc)
{recursively traverse the left subtree of p}
perform the “visit” action for position p
if p has a right child rc then
inorder(rc)
{recursively traverse the right subtree of p}
Code Fragment 8.15: Algorithm inorder for performing an inorder traversal of a
subtree rooted at position p of a binary tree.
−
/
+
+
×
+
3
−
3
1
9
×
2
5
6
−
3
7
4
Figure 8.18: Inorder traversal of a binary tree.
The inorder traversal algorithm has several important applications. When using
a binary tree to represent an arithmetic expression, as in Figure 8.18, the inorder
traversal visits positions in a consistent order with the standard representation of
the expression, as in 3 + 1 × 3/9 − 5 + 2 . . . (albeit without parentheses).
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Binary Search Trees
An important application of the inorder traversal algorithm arises when we store an
ordered sequence of elements in a binary tree, defining a structure we call a binary
search tree. Let S be a set whose unique elements have an order relation. For
example, S could be a set of integers. A binary search tree for S is a binary tree T
such that, for each position p of T :
• Position p stores an element of S, denoted as e(p).
• Elements stored in the left subtree of p (if any) are less than e(p).
• Elements stored in the right subtree of p (if any) are greater than e(p).
An example of a binary search tree is shown in Figure 8.19. The above properties
assure that an inorder traversal of a binary search tree T visits the elements in
nondecreasing order.
58
31
90
25
12
42
36
62
75
Figure 8.19: A binary search tree storing integers. The solid path is traversed when
searching (successfully) for 36. The dashed path is traversed when searching (unsuccessfully) for 70.
We can use a binary search tree T for set S to find whether a given search
value v is in S, by traversing a path down the tree T , starting at the root. At each
internal position p encountered, we compare our search value v with the element
e(p) stored at p. If v < e(p), then the search continues in the left subtree of p.
If v = e(p), then the search terminates successfully. If v > e(p), then the search
continues in the right subtree of p. Finally, if we reach an empty subtree, the search
terminates unsuccessfully. In other words, a binary search tree can be viewed as a
binary decision tree (recall Example 8.6), where the question asked at each internal
node is whether the element at that node is less than, equal to, or larger than the
element being searched for. We illustrate several examples of the search operation
in Figure 8.19.
Note that the running time of searching in a binary search tree T is proportional
to the height of T . Recall from Proposition 8.8 that the height of a binary tree with
n nodes can be as small as log(n + 1) − 1 or as large as n − 1. Thus, binary search
trees are most efficient when they have small height. Chapter 11 is devoted to the
study of search trees.
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333
8.4.4 Implementing Tree Traversals in Python
When first defining the tree ADT in Section 8.1.2, we stated that tree T should
include support for the following methods:
T.positions( ): Generate an iteration of all positions of tree T.
iter(T): Generate an iteration of all elements stored within tree T.
At that time, we did not make any assumption about the order in which these
iterations report their results. In this section, we demonstrate how any of the tree
traversal algorithms we have introduced could be used to produce these iterations.
To begin, we note that it is easy to produce an iteration of all elements of a
tree, if we rely on a presumed iteration of all positions. Therefore, support for
the iter(T) syntax can be formally provided by a concrete implementation of the
special method iter within the abstract base class Tree. We rely on Python’s
generator syntax as the mechanism for producing iterations. (See Section 1.8.) Our
implementation of Tree. iter is given in Code Fragment 8.16.
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def iter (self):
”””Generate an iteration of the tree s elements.”””
for p in self.positions( ):
# use same order as positions()
yield p.element( )
# but yield each element
Code Fragment 8.16: Iterating all elements of a Tree instance, based upon an iter-
ation of the positions of the tree. This code should be included in the body of the
Tree class.
To implement the positions method, we have a choice of tree traversal algorithms. Given that there are advantages to each of those traversal orders, we will
provide independent implementations of each strategy that can be called directly
by a user of our class. We can then trivially adapt one of those as a default order
for the positions method of the tree ADT.
Preorder Traversal
We begin by considering the preorder traversal algorithm. We will support a public
method with calling signature T.preorder( ) for tree T, which generates a preorder
iteration of all positions within the tree. However, the recursive algorithm for generating a preorder traversal, as originally described in Code Fragment 8.12, must
be parameterized by a specific position within the tree that serves as the root of a
subtree to traverse. A standard solution for such a circumstance is to define a nonpublic utility method with the desired recursive parameterization, and then to have
the public method preorder invoke the nonpublic method upon the root of the tree.
Our implementation of such a design is given in Code Fragment 8.17.
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def preorder(self):
”””Generate a preorder iteration of positions in the tree.”””
if not self.is empty( ):
for p in self. subtree preorder(self.root( )):
# start recursion
yield p
def subtree preorder(self, p):
”””Generate a preorder iteration of positions in subtree rooted at p.”””
yield p
# visit p before its subtrees
for c in self.children(p):
# for each child c
# do preorder of c’s subtree
for other in self. subtree preorder(c):
yield other
# yielding each to our caller
Code Fragment 8.17: Support for performing a preorder traversal of a tree. This
code should be included in the body of the Tree class.
Formally, both preorder and the utility subtree preorder are generators. Rather
than perform a “visit” action from within this code, we yield each position to the
caller and let the caller decide what action to perform at that position.
The subtree preorder method is the recursive one. However, because we are
relying on generators rather than traditional functions, the recursion has a slightly
different form. In order to yield all positions within the subtree of child c, we loop
over the positions yielded by the recursive call self. subtree preorder(c), and reyield each position in the outer context. Note that if p is a leaf, the for loop over
self.children(p) is trivial (this is the base case for our recursion).
We rely on a similar technique in the public preorder method to re-yield all
positions that are generated by the recursive process starting at the root of the tree;
if the tree is empty, nothing is yielded. At this point, we have provided full support
for the preorder generator. A user of the class can therefore write code such as
for p in T.preorder( ):
# ”visit” position p
The official tree ADT requires that all trees support a positions method as well. To
use a preorder traversal as the default order of iteration, we include the definition
shown in Code Fragment 8.18 within our Tree class. Rather than loop over the
results returned by the preorder call, we return the entire iteration as an object.
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def positions(self):
”””Generate an iteration of the tree s positions.”””
return self.preorder( )
# return entire preorder iteration
Code Fragment 8.18: An implementation of the positions method for the Tree class
that relies on a preorder traversal to generate the results.
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Postorder Traversal
We can implement a postorder traversal using very similar technique as with a
preorder traversal. The only difference is that within the recursive utility for a postorder we wait to yield position p until after we have recursively yield the positions
in its subtrees. An implementation is given in Code Fragment 8.19.
94
95
96
97
98
99
100
101
102
103
104
105
def postorder(self):
”””Generate a postorder iteration of positions in the tree.”””
if not self.is empty( ):
# start recursion
for p in self. subtree postorder(self.root( )):
yield p
def subtree postorder(self, p):
”””Generate a postorder iteration of positions in subtree rooted at p.”””
for c in self.children(p):
# for each child c
for other in self. subtree postorder(c): # do postorder of c’s subtree
yield other
# yielding each to our caller
yield p
# visit p after its subtrees
Code Fragment 8.19: Support for performing a postorder traversal of a tree. This
code should be included in the body of the Tree class.
Breadth-First Traversal
In Code Fragment 8.20, we provide an implementation of the breadth-first traversal
algorithm in the context of our Tree class. Recall that the breadth-first traversal
algorithm is not recursive; it relies on a queue of positions to manage the traversal process. Our implementation uses the LinkedQueue class from Section 7.1.2,
although any implementation of the queue ADT would suffice.
Inorder Traversal for Binary Trees
The preorder, postorder, and breadth-first traversal algorithms are applicable to
all trees, and so we include their implementations within the Tree abstract base
class. Those methods are inherited by the abstract BinaryTree class, the concrete
LinkedBinaryTree class, and any other dependent tree classes we might develop.
The inorder traversal algorithm, because it explicitly relies on the notion of a
left and right child of a node, only applies to binary trees. We therefore include its
definition within the body of the BinaryTree class. We use a similar technique to
implement an inorder traversal (Code Fragment 8.21) as we did with preorder and
postorder traversals.
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106
107
108
109
110
111
112
113
114
115
def breadthfirst(self):
”””Generate a breadth-first iteration of the positions of the tree.”””
if not self.is empty( ):
fringe = LinkedQueue( )
# known positions not yet yielded
fringe.enqueue(self.root( ))
# starting with the root
while not fringe.is empty( ):
p = fringe.dequeue( )
# remove from front of the queue
yield p
# report this position
for c in self.children(p):
fringe.enqueue(c)
# add children to back of queue
Code Fragment 8.20: An implementation of a breadth-first traversal of a tree. This
code should be included in the body of the Tree class.
37
38
39
40
41
42
43
44
45
46
47
48
49
50
51
def inorder(self):
”””Generate an inorder iteration of positions in the tree.”””
if not self.is empty( ):
for p in self. subtree inorder(self.root( )):
yield p
def subtree inorder(self, p):
”””Generate an inorder iteration of positions in subtree rooted at p.”””
if self.left(p) is not None:
# if left child exists, traverse its subtree
for other in self. subtree inorder(self.left(p)):
yield other
yield p
# visit p between its subtrees
if self.right(p) is not None:
# if right child exists, traverse its subtree
for other in self. subtree inorder(self.right(p)):
yield other
Code Fragment 8.21: Support for performing an inorder traversal of a binary tree.
This code should be included in the BinaryTree class (given in Code Fragment 8.7).
For many applications of binary trees, an inorder traversal provides a natural
iteration. We could make it the default for the BinaryTree class by overriding the
positions method that was inherited from the Tree class (see Code Fragment 8.22).
52
53
54
55
# override inherited version to make inorder the default
def positions(self):
”””Generate an iteration of the tree s positions.”””
return self.inorder( )
# make inorder the default
Code Fragment 8.22: Defining the BinaryTree.position method so that positions are
reported using inorder traversal.
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8.4.5 Applications of Tree Traversals
In this section, we demonstrate several representative applications of tree traversals,
including some customizations of the standard traversal algorithms.
Table of Contents
When using a tree to represent the hierarchical structure of a document, a preorder
traversal of the tree can naturally be used to produce a table of contents for the document. For example, the table of contents associated with the tree from Figure 8.15
is displayed in Figure 8.20. Part (a) of that figure gives a simple presentation with
one element per line; part (b) shows a more attractive presentation produced by
indenting each element based on its depth within the tree. A similar presentation
could be used to display the contents of a computer’s file system, based on its tree
representation (as in Figure 8.3).
Paper
Title
Abstract
1
1.1
1.2
2
2.1
...
Paper
Title
Abstract
1
1.1
1.2
2
2.1
...
(a)
(b)
Figure 8.20: Table of contents for a document represented by the tree in Figure 8.15:
(a) without indentation; (b) with indentation based on depth within the tree.
The unindented version of the table of contents, given a tree T , can be produced
with the following code:
for p in T.preorder( ):
print(p.element( ))
To produce the presentation of Figure 8.20(b), we indent each element with a
number of spaces equal to twice the element’s depth in the tree (hence, the root element was unindented). Although we could replace the body of the above loop with
+ str(p.element( ))), such an approach is
the statement print(2 T.depth(p)
unnecessarily inefficient. Although the work to produce the preorder traversal runs
in O(n) time, based on the analysis of Section 8.4.1, the calls to depth incur a hidden cost. Making a call to depth from every position of the tree results in O(n2 )
worst-case time, as noted when analyzing the algorithm height1 in Section 8.1.3.
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A preferred approach to producing an indented table of contents is to redesign
a top-down recursion that includes the current depth as an additional parameter.
Such an implementation is provided in Code Fragment 8.23. This implementation
runs in worst-case O(n) time (except, technically, the time it takes to print strings
of increasing lengths).
1 def preorder indent(T, p, d):
2
”””Print preorder representation of subtree of T rooted at p at depth d.”””
+ str(p.element( )))
# use depth for indentation
3
print(2 d
4
for c in T.children(p):
# child depth is d+1
5
preorder indent(T, c, d+1)
Code Fragment 8.23: Efficient recursion for printing indented version of a preorder traversal. On a complete tree T , the recursion should be started with form
preorder indent(T, T.root( ), 0).
In the example of Figure 8.20, we were fortunate in that the numbering was
embedded within the elements of the tree. More generally, we might be interested
in using a preorder traversal to display the structure of a tree, with indentation and
also explicit numbering that was not present in the tree. For example, we might
display the tree from Figure 8.2 beginning as:
Electronics R’Us
1 R&D
2 Sales
2.1 Domestic
2.2 International
2.2.1 Canada
2.2.2 S. America
This is more challenging, because the numbers used as labels are implicit in
the structure of the tree. A label depends on the index of each position, relative to
its siblings, along the path from the root to the current position. To accomplish the
task, we add a representation of that path as an additional parameter to the recursive
signature. Specifically, we use a list of zero-indexed numbers, one for each position
along the downward path, other than the root. (We convert those numbers to oneindexed form when printing.)
At the implementation level, we wish to avoid the inefficiency of duplicating
such lists when sending a new parameter from one level of the recursion to the next.
A standard solution is to share the same list instance throughout the recursion. At
one level of the recursion, a new entry is temporarily added to the end of the list
before making further recursive calls. In order to “leave no trace,” that same block
of code must remove the extraneous entry from the list before completing its task.
An implementation based on this approach is given in Code Fragment 8.24.
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1 def preorder label(T, p, d, path):
2
”””Print labeled representation of subtree
3
label = . .join(str(j+1) for j in path)
+ label, p.element( ))
4
print(2 d
5
path.append(0)
6
for c in T.children(p):
7
preorder label(T, c, d+1, path)
8
path[−1] += 1
9
path.pop( )
of T rooted at p at depth d.”””
# displayed labels are one-indexed
# path entries are zero-indexed
# child depth is d+1
Code Fragment 8.24: Efficient recursion for printing an indented and labeled presentation of a preorder traversal.
Parenthetic Representations of a Tree
It is not possible to reconstruct a general tree, given only the preorder sequence
of elements, as in Figure 8.20(a). Some additional context is necessary for the
structure of the tree to be well defined. The use of indentation or numbered labels
provides such context, with a very human-friendly presentation. However, there
are more concise string representations of trees that are computer-friendly.
In this section, we explore one such representation. The parenthetic string
representation P(T ) of tree T is recursively defined as follows. If T consists of a
single position p, then
P(T ) = str(p.element()).
Otherwise, it is defined recursively as,
P(T ) = str(p.element()) + ( + P(T1 ) + ,
+ ··· + ,
+ P(Tk ) + )
where p is the root of T and T1 , T2 , . . . , Tk are the subtrees rooted at the children
of p, which are given in order if T is an ordered tree. We are using “+” here to
denote string concatenation. As an example, the parenthetic representation of the
tree of Figure 8.2 would appear as follows (line breaks are cosmetic):
Electronics R’Us (R&D, Sales (Domestic, International (Canada,
S. America, Overseas (Africa, Europe, Asia, Australia))),
Purchasing, Manufacturing (TV, CD, Tuner))
Although the parenthetic representation is essentially a preorder traversal, we
cannot easily produce the additional punctuation using the formal implementation
of preorder, as given in Code Fragment 8.17. The opening parenthesis must be
produced just before the loop over a position’s children and the closing parenthesis
must be produced just after that loop. Furthermore, the separating commas must
be produced. The Python function parenthesize, shown in Code Fragment 8.25, is
a custom traversal that prints such a parenthetic string representation of a tree T .
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1 def parenthesize(T, p):
2
”””Print parenthesized representation of subtree of T rooted at p.”””
# use of end avoids trailing newline
3
print(p.element( ), end= )
4
if not T.is leaf(p):
5
first time = True
6
for c in T.children(p):
# determine proper separator
7
sep = ( if first time else ,
8
print(sep, end= )
# any future passes will not be the first
9
first time = False
10
parenthesize(T, c)
# recur on child
# include closing parenthesis
11
print( ) , end= )
Code Fragment 8.25: Function that prints parenthetic string representation of a tree.
Computing Disk Space
In Example 8.1, we considered the use of a tree as a model for a file-system structure, with internal positions representing directories and leaves representing files.
In fact, when introducing the use of recursion back in Chapter 4, we specifically
examined the topic of file systems (see Section 4.1.4). Although we did not explicitly model it as a tree at that time, we gave an implementation of an algorithm for
computing the disk usage (Code Fragment 4.5).
The recursive computation of disk space is emblematic of a postorder traversal,
as we cannot effectively compute the total space used by a directory until after we
know the space that is used by its children directories. Unfortunately, the formal
implementation of postorder, as given in Code Fragment 8.19 does not suffice for
this purpose. As it visits the position of a directory, there is no easy way to discern
which of the previous positions represent children of that directory, nor how much
recursive disk space was allocated.
We would like to have a mechanism for children to return information to the
parent as part of the traversal process. A custom solution to the disk space problem, with each level of recursion providing a return value to the (parent) caller, is
provided in Code Fragment 8.26.
1 def disk space(T, p):
2
”””Return total disk space for subtree of T rooted at p.”””
3
subtotal = p.element( ).space( )
# space used at position p
4
for c in T.children(p):
# add child’s space to subtotal
5
subtotal += disk space(T, c)
6
return subtotal
Code Fragment 8.26: Recursive computation of disk space for a tree. We assume
that a space( ) method of each tree element reports the local space used at that
position.
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8.4.6 Euler Tours and the Template Method Pattern The various applications described in Section 8.4.5 demonstrate the great power
of recursive tree traversals. Unfortunately, they also show that the specific implementations of the preorder and postorder methods of our Tree class, or the inorder
method of the BinaryTree class, are not general enough to capture the range of
computations we desire. In some cases, we need more of a blending of the approaches, with initial work performed before recurring on subtrees, additional work
performed after those recursions, and in the case of a binary tree, work performed
between the two possible recursions. Furthermore, in some contexts it was important to know the depth of a position, or the complete path from the root to that
position, or to return information from one level of the recursion to another. For
each of the previous applications, we were able to develop a custom implementation to properly adapt the recursive ideas, but the great principles of object-oriented
programming introduced in Section 2.1.1 include adaptability and reusability.
In this section, we develop a more general framework for implementing tree
traversals based on a concept known as an Euler tour traversal. The Euler tour
traversal of a general tree T can be informally defined as a “walk” around T , where
we start by going from the root toward its leftmost child, viewing the edges of T as
being “walls” that we always keep to our left. (See Figure 8.21.)
−
+
/
+
3
−
3
1
×
+
×
9
2
5
6
−
3
7
4
Figure 8.21: Euler tour traversal of a tree.
The complexity of the walk is O(n), because it progresses exactly two times
along each of the n−1 edges of the tree—once going downward along the edge, and
later going upward along the edge. To unify the concept of preorder and postorder
traversals, we can think of there being two notable “visits” to each position p:
• A “pre visit” occurs when first reaching the position, that is, when the walk
passes immediately left of the node in our visualization.
• A “post visit” occurs when the walk later proceeds upward from that position,
that is, when the walk passes to the right of the node in our visualization.
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The process of an Euler tour can easily be viewed recursively. In between the
“pre visit” and “post visit” of a given position will be a recursive tour of each of
its subtrees. Looking at Figure 8.21 as an example, there is a contiguous portion
of the entire tour that is itself an Euler tour of the subtree of the node with element
“/”. That tour contains two contiguous subtours, one traversing that position’s left
subtree and another traversing the right subtree. The pseudo-code for an Euler tour
traversal of a subtree rooted at a position p is shown in Code Fragment 8.27.
Algorithm eulertour(T, p):
perform the “pre visit” action for position p
for each child c in T.children(p) do
eulertour(T, c)
{recursively tour the subtree rooted at c}
perform the “post visit” action for position p
Code Fragment 8.27: Algorithm eulertour for performing an Euler tour traversal of
a subtree rooted at position p of a tree.
The Template Method Pattern
To provide a framework that is reusable and adaptable, we rely on an interesting
object-oriented software design pattern, the template method pattern. The template
method pattern describes a generic computation mechanism that can be specialized
for a particular application by redefining certain steps. To allow customization, the
primary algorithm calls auxiliary functions known as hooks at designated steps of
the process.
In the context of an Euler tour traversal, we define two separate hooks, a previsit hook that is called before the subtrees are traversed, and a postvisit hook that is
called after the completion of the subtree traversals. Our implementation will take
the form of an EulerTour class that manages the process, and defines trivial definitions for the hooks that do nothing. The traversal can be customized by defining
a subclass of EulerTour and overriding one or both hooks to provide specialized
behavior.
Python Implementation
Our implementation of an EulerTour class is provided in Code Fragment 8.28. The
primary recursive process is defined in the nonpublic tour method. A tour instance
is created by sending a reference to a specific tree to the constructor, and then by
calling the public execute method, which beings the tour and returns a final result
of the computation.
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1 class EulerTour:
2
”””Abstract base class for performing Euler tour of a tree.
3
hook previsit and hook postvisit may be overridden by subclasses.
4
5
”””
6
def init (self, tree):
7
”””Prepare an Euler tour template for given tree.”””
8
self. tree = tree
9
10
def tree(self):
11
”””Return reference to the tree being traversed.”””
12
return self. tree
13
14
def execute(self):
15
”””Perform the tour and return any result from post visit of root.”””
16
if len(self. tree) > 0:
# start the recursion
17
return self. tour(self. tree.root( ), 0, [ ])
18
19
def tour(self, p, d, path):
20
”””Perform tour of subtree rooted at Position p.
21
22
p
Position of current node being visited
23
d
depth of p in the tree
24
path
list of indices of children on path from root to p
25
”””
# ”pre visit” p
26
self. hook previsit(p, d, path)
27
results = [ ]
28
path.append(0)
# add new index to end of path before recursion
29
for c in self. tree.children(p):
# recur on child s subtree
30
results.append(self. tour(c, d+1, path))
31
path[−1] += 1
# increment index
32
path.pop( )
# remove extraneous index from end of path
# ”post visit” p
33
answer = self. hook postvisit(p, d, path, results)
34
return answer
35
# can be overridden
36
def hook previsit(self, p, d, path):
37
pass
38
# can be overridden
39
def hook postvisit(self, p, d, path, results):
40
pass
Code Fragment 8.28: An EulerTour base class providing a framework for performing Euler tour traversals of a tree.
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Based on our experience of customizing traversals for sample applications Section 8.4.5, we build support into the primary EulerTour for maintaining the recursive depth and the representation of the recursive path through a tree, using the
approach that we introduced in Code Fragment 8.24. We also provide a mechanism
for one recursive level to return a value to another when post-processing. Formally,
our framework relies on the following two hooks that can be specialized:
• method hook previsit(p, d, path)
This function is called once for each position, immediately before its subtrees
(if any) are traversed. Parameter p is a position in the tree, d is the depth of
that position, and path is a list of indices, using the convention described in
the discussion of Code Fragment 8.24. No return value is expected from this
function.
• method hook postvisit(p, d, path, results)
This function is called once for each position, immediately after its subtrees
(if any) are traversed. The first three parameters use the same convention as
did hook previsit. The final parameter is a list of objects that were provided
as return values from the post visits of the respective subtrees of p. Any value
returned by this call will be available to the parent of p during its postvisit.
For more complex tasks, subclasses of EulerTour may also choose to initialize
and maintain additional state in the form of instance variables that can be accessed
within the bodies of the hooks.
Using the Euler Tour Framework
To demonstrate the flexibility of our Euler tour framework, we revisit the sample
applications from Section 8.4.5. As a simple example, an indented preorder traversal, akin to that originally produced by Code Fragment 8.23, can be generated with
the simple subclass given in Code Fragment 8.29.
1 class PreorderPrintIndentedTour(EulerTour):
2
def hook previsit(self, p, d, path):
+ str(p.element( )))
3
print(2 d
Code Fragment 8.29: A subclass of EulerTour that produces an indented preorder
list of a tree’s elements.
Such a tour would be started by creating an instance of the subclass for a given
tree T, and invoking its execute method. This could be expressed as follows:
tour = PreorderPrintIndentedTour(T)
tour.execute( )
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A labeled version of an indented, preorder presentation, akin to Code Fragment 8.24, could be generated by the new subclass of EulerTour shown in Code
Fragment 8.30.
1 class PreorderPrintIndentedLabeledTour(EulerTour):
2
def hook previsit(self, p, d, path):
3
label = . .join(str(j+1) for j in path) # labels are one-indexed
+ label, p.element( ))
4
print(2 d
Code Fragment 8.30: A subclass of EulerTour that produces a labeled and indented,
preorder list of a tree’s elements.
To produce the parenthetic string representation, originally achieved with Code
Fragment 8.25, we define a subclass that overrides both the previsit and postvisit
hooks. Our new implementation is given in Code Fragment 8.31.
1 class ParenthesizeTour(EulerTour):
2
def hook previsit(self, p, d, path):
3
if path and path[−1] > 0:
# p follows a sibling
# so preface with comma
4
print( , , end= )
# then print element
5
print(p.element( ), end= )
# if p has children
6
if not self.tree( ).is leaf(p):
# print opening parenthesis
7
print( ( , end= )
8
9
def hook postvisit(self, p, d, path, results):
# if p has children
10
if not self.tree( ).is leaf(p):
# print closing parenthesis
11
print( ) , end= )
Code Fragment 8.31: A subclass of EulerTour that prints a parenthetic string repre-
sentation of a tree.
Notice that in this implementation, we need to invoke a method on the tree instance
that is being traversed from within the hooks. The public tree( ) method of the
EulerTour class serves as an accessor for that tree.
Finally, the task of computing disk space, as originally implemented in Code
Fragment 8.26, can be performed quite easily with the EulerTour subclass shown
in Code Fragment 8.32. The postvisit result of the root will be returned by the call
to execute( ).
1 class DiskSpaceTour(EulerTour):
2
def hook postvisit(self, p, d, path, results):
3
# we simply add space associated with p to that of its subtrees
4
return p.element( ).space( ) + sum(results)
Code Fragment 8.32: A subclass of EulerTour that computes disk space for a tree.
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The Euler Tour Traversal of a Binary Tree
In Section 8.4.6, we introduced the concept of an Euler tour traversal of a general
graph, using the template method pattern in designing the EulerTour class. That
class provided methods hook previsit and hook postvisit that could be overridden to customize a tour. In Code Fragment 8.33 we provide a BinaryEulerTour
specialization that includes an additional hook invisit that is called once for each
position—after its left subtree is traversed, but before its right subtree is traversed.
Our implementation of BinaryEulerTour replaces the original tour utility to
specialize to the case in which a node has at most two children. If a node has only
one child, a tour differentiates between whether that is a left child or a right child,
with the “in visit” taking place after the visit of a sole left child, but before the visit
of a sole right child. In the case of a leaf, the three hooks are called in succession.
1 class BinaryEulerTour(EulerTour):
2
”””Abstract base class for performing Euler tour of a binary tree.
3
4
This version includes an additional hook invisit that is called after the tour
5
of the left subtree (if any), yet before the tour of the right subtree (if any).
6
7
Note: Right child is always assigned index 1 in path, even if no left sibling.
8
”””
9
def tour(self, p, d, path):
10
results = [None, None]
# will update with results of recursions
# ”pre visit” for p
11
self. hook previsit(p, d, path)
# consider left child
12
if self. tree.left(p) is not None:
13
path.append(0)
14
results[0] = self. tour(self. tree.left(p), d+1, path)
15
path.pop( )
# ”in visit” for p
16
self. hook invisit(p, d, path)
# consider right child
17
if self. tree.right(p) is not None:
18
path.append(1)
19
results[1] = self. tour(self. tree.right(p), d+1, path)
20
path.pop( )
# ”post visit” p
21
answer = self. hook postvisit(p, d, path, results)
22
return answer
23
# can be overridden
24
def hook invisit(self, p, d, path): pass
Code Fragment 8.33: A BinaryEulerTour base class providing a specialized tour for
binary trees. The original EulerTour base class was given in Code Fragment 8.28.
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0
1
2
3
4
0
1
2
3
4
5
6
7
8
9 10
Figure 8.22: An inorder drawing of a binary tree.
11
12
To demonstrate use of the BinaryEulerTour framework, we develop a subclass
that computes a graphical layout of a binary tree, as shown in Figure 8.22. The
geometry is determined by an algorithm that assigns x- and y-coordinates to each
position p of a binary tree T using the following two rules:
• x(p) is the number of positions visited before p in an inorder traversal of T .
• y(p) is the depth of p in T .
In this application, we take the convention common in computer graphics that xcoordinates increase left to right and y-coordinates increase top to bottom. So the
origin is in the upper left corner of the computer screen.
Code Fragment 8.34 provides an implementation of a BinaryLayout subclass
that implements the above algorithm for assigning (x, y) coordinates to the element
stored at each position of a binary tree. We adapt the BinaryEulerTour framework
by introducing additional state in the form of a count instance variable that represents the number of “in visits” that we have performed. The x-coordinate for each
position is set according to that counter.
1 class BinaryLayout(BinaryEulerTour):
2
”””Class for computing (x,y) coordinates for each node of a binary tree.”””
3
def init (self, tree):
# must call the parent constructor
4
super( ). init (tree)
# initialize count of processed nodes
5
self. count = 0
6
7
def hook invisit(self, p, d, path):
# x-coordinate serialized by count
8
p.element( ).setX(self. count)
9
p.element( ).setY(d)
# y-coordinate is depth
# advance count of processed nodes
10
self. count += 1
Code Fragment 8.34: A BinaryLayout class that computes coordinates at which to
draw positions of a binary tree. We assume that the element type for the original
tree supports setX and setY methods.
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348
8.5
Case Study: An Expression Tree
In Example 8.7, we introduced the use of a binary tree to represent the structure of
an arithmetic expression. In this section, we define a new ExpressionTree class that
provides support for constructing such trees, and for displaying and evaluating the
arithmetic expression that such a tree represents. Our ExpressionTree class is defined as a subclass of LinkedBinaryTree, and we rely on the nonpublic mutators to
construct such trees. Each internal node must store a string that defines a binary operator (e.g., + ), and each leaf must store a numeric value (or a string representing
a numeric value).
Our eventual goal is to build arbitrarily complex expression trees for compound
arithmetic expressions such as (((3 + 1) × 4)/((9 − 5) + 2)). However, it suffices
for the ExpressionTree class to support two basic forms of initialization:
ExpressionTree(value): Create a tree storing the given value at the root.
ExpressionTree(op, E1 , E2 ): Create a tree storing string op at the root (e.g., +),
and with the structures of existing ExpressionTree
instances E1 and E2 as the left and right subtrees of
the root, respectively.
Such a constructor for the ExpressionTree class is given in Code Fragment 8.35.
The class formally inherits from LinkedBinaryTree, so it has access to all the nonpublic update methods that were defined in Section 8.3.1. We use add root to create an initial root of the tree storing the token provided as the first parameter. Then
we perform run-time checking of the parameters to determine whether the caller
invoked the one-parameter version of the constructor (in which case, we are done),
or the three-parameter form. In that case, we use the inherited attach method to
incorporate the structure of the existing trees as subtrees of the root.
Composing a Parenthesized String Representation
A string representation of an existing expression tree instance, for example, as
(((3+1)x4)/((9-5)+2)) , can be produced by displaying tree elements using an inorder traversal, but with opening and closing parentheses inserted with
a preorder and postorder step, respectively. In the context of an ExpressionTree
class, we support a special str method (see Section 2.3.2) that returns the
appropriate string. Because it is more efficient to first build a sequence of individual strings to be joined together (see discussion of “Composing Strings” in Section 5.4.2), the implementation of str relies on a nonpublic, recursive method
named parenthesize recur that appends a series of strings to a list. These methods
are included in Code 8.35.
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349
1 class ExpressionTree(LinkedBinaryTree):
2
”””An arithmetic expression tree.”””
3
4
def init (self, token, left=None, right=None):
5
”””Create an expression tree.
6
7
In a single parameter form, token should be a leaf value (e.g., 42 ),
8
and the expression tree will have that value at an isolated node.
9
10
In a three-parameter version, token should be an operator,
11
and left and right should be existing ExpressionTree instances
12
that become the operands for the binary operator.
13
”””
# LinkedBinaryTree initialization
14
super( ). init ( )
15
if not isinstance(token, str):
16
raise TypeError( Token must be a string )
# use inherited, nonpublic method
17
self. add root(token)
18
if left is not None:
# presumably three-parameter form
19
if token not in +-*x/ :
20
raise ValueError( token must be valid operator )
21
self. attach(self.root( ), left, right) # use inherited, nonpublic method
22
23
def str (self):
24
”””Return string representation of the expression.”””
25
pieces = [ ]
# sequence of piecewise strings to compose
26
self. parenthesize recur(self.root( ), pieces)
27
return .join(pieces)
28
29
def parenthesize recur(self, p, result):
30
”””Append piecewise representation of p s subtree to resulting list.”””
31
if self.is leaf(p):
32
result.append(str(p.element( )))
# leaf value as a string
33
else:
# opening parenthesis
34
result.append( ( )
# left subtree
35
self. parenthesize recur(self.left(p), result)
36
result.append(p.element( ))
# operator
# right subtree
37
self. parenthesize recur(self.right(p), result)
# closing parenthesis
38
result.append( ) )
Code Fragment 8.35: The beginning of an ExpressionTree class.
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350
Expression Tree Evaluation
The numeric evaluation of an expression tree can be accomplished with a simple
application of a postorder traversal. If we know the values represented by the two
subtrees of an internal position, we can calculate the result of the computation that
position designates. Pseudo-code for the recursive evaluation of the value represented by a subtree rooted at position p is given in Code Fragment 8.36.
Algorithm evaluate recur(p):
if p is a leaf then
return the value stored at p
else
let ◦ be the operator stored at p
x = evaluate recur(left(p))
y = evaluate recur(right(p))
return x ◦ y
Code Fragment 8.36: Algorithm evaluate recur for evaluating the expression rep-
resented by a subtree of an arithmetic expression tree rooted at position p.
To implement this algorithm in the context of a Python ExpressionTree class,
we provide a public evaluate method that is invoked on instance T as T.evaluate( ).
Code Fragment 8.37 provides such an implementation, relying on a nonpublic
evaluate recur method that computes the value of a designated subtree.
39
40
41
42
43
44
45
46
47
48
49
50
51
52
53
54
def evaluate(self):
”””Return the numeric result of the expression.”””
return self. evaluate recur(self.root( ))
def evaluate recur(self, p):
”””Return the numeric result of subtree rooted at p.”””
if self.is leaf(p):
return float(p.element( ))
# we assume element is numeric
else:
op = p.element( )
left val = self. evaluate recur(self.left(p))
right val = self. evaluate recur(self.right(p))
if op == + : return left val + right val
elif op == - : return left val − right val
elif op == / : return left val / right val
# treat x or
as multiplication
else: return left val right val
Code Fragment 8.37: Support for evaluating an ExpressionTree instance.
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351
Building an Expression Tree
The constructor for the ExpressionTree class, from Code Fragment 8.35, provides
basic functionality for combining existing trees to build larger expression trees.
However, the question still remains how to construct a tree that represents an expression for a given string, such as (((3+1)x4)/((9-5)+2)) .
To automate this process, we rely on a bottom-up construction algorithm, assuming that a string can first be tokenized so that multidigit numbers are treated
atomically (see Exercise R-8.30), and that the expression is fully parenthesized.
The algorithm uses a stack S while scanning tokens of the input expression E to
find values, operators, and right parentheses. (Left parentheses are ignored.)
• When we see an operator ◦, we push that string on the stack.
• When we see a literal value v, we create a single-node expression tree T
storing v, and push T on the stack.
• When we see a right parenthesis, ) , we pop the top three items from the
stack S, which represent a subexpression (E1 ◦ E2 ). We then construct a
tree T using trees for E1 and E2 as subtrees of the root storing ◦, and push
the resulting tree T back on the stack.
We repeat this until the expression E has been processed, at which time the top
element on the stack is the expression tree for E. The total running time is O(n).
An implementation of this algorithm is given in Code Fragment 8.38 in the form
of a stand-alone function named build expression tree, which produces and returns
an appropriate ExpressionTree instance, assuming the input has been tokenized.
1 def build expression tree(tokens):
2
”””Returns an ExpressionTree based upon by a tokenized expression.”””
3
S=[]
# we use Python list as stack
4
for t in tokens:
# t is an operator symbol
5
if t in +-x*/ :
6
S.append(t)
# push the operator symbol
# consider t to be a literal
7
elif t not in () :
8
S.append(ExpressionTree(t))
# push trivial tree storing value
# compose a new tree from three constituent parts
9
elif t == ) :
10
right = S.pop( )
# right subtree as per LIFO
11
op = S.pop( )
# operator symbol
12
left = S.pop( )
# left subtree
13
S.append(ExpressionTree(op, left, right)) # repush tree
14
# we ignore a left parenthesis
15
return S.pop( )
Code Fragment 8.38: Implementation of a build expression tree that produces an
ExpressionTree from a sequence of tokens representing an arithmetic expression.
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8.6
Exercises
For help with exercises, please visit the site, www.wiley.com/college/goodrich.
Reinforcement
R-8.1 The following questions refer to the tree of Figure 8.3.
a. Which node is the root?
b. What are the internal nodes?
c. How many descendants does node cs016/ have?
d. How many ancestors does node cs016/ have?
e. What are the siblings of node homeworks/?
f. Which nodes are in the subtree rooted at node projects/?
g. What is the depth of node papers/?
h. What is the height of the tree?
R-8.2 Show a tree achieving the worst-case running time for algorithm depth.
R-8.3 Give a justification of Proposition 8.4.
R-8.4 What is the running time of a call to T. height2(p) when called on a
position p distinct from the root of T? (See Code Fragment 8.5.)
R-8.5 Describe an algorithm, relying only on the BinaryTree operations, that
counts the number of leaves in a binary tree that are the left child of their
respective parent.
R-8.6 Let T be an n-node binary tree that may be improper. Describe how to
represent T by means of a proper binary tree T with O(n) nodes.
R-8.7 What are the minimum and maximum number of internal and external
nodes in an improper binary tree with n nodes?
R-8.8 Answer the following questions so as to justify Proposition 8.8.
a. What is the minimum number of external nodes for a proper binary
tree with height h? Justify your answer.
b. What is the maximum number of external nodes for a proper binary
tree with height h? Justify your answer.
c. Let T be a proper binary tree with height h and n nodes. Show that
log(n + 1) − 1 ≤ h ≤ (n − 1)/2.
d. For which values of n and h can the above lower and upper bounds
on h be attained with equality?
R-8.9 Give a proof by induction of Proposition 8.9.
R-8.10 Give a direct implementation of the num children method within the class
BinaryTree.
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R-8.11 Find the value of the arithmetic expression associated with each subtree
of the binary tree of Figure 8.8.
R-8.12 Draw an arithmetic expression tree that has four external nodes, storing
the numbers 1, 5, 6, and 7 (with each number stored in a distinct external
node, but not necessarily in this order), and has three internal nodes, each
storing an operator from the set {+, −, ×, /}, so that the value of the root
is 21. The operators may return and act on fractions, and an operator may
be used more than once.
R-8.13 Draw the binary tree representation of the following arithmetic expression: “(((5 + 2) ∗ (2 − 1))/((2 + 9) + ((7 − 2) − 1)) ∗ 8)”.
R-8.14 Justify Table 8.2, summarizing the running time of the methods of a tree
represented with a linked structure, by providing, for each method, a description of its implementation, and an analysis of its running time.
R-8.15 The LinkedBinaryTree class provides only nonpublic versions of the update methods discussed on page 319. Implement a simple subclass named
MutableLinkedBinaryTree that provides public wrapper functions for each
of the inherited nonpublic update methods.
R-8.16 Let T be a binary tree with n nodes, and let f () be the level numbering
function of the positions of T , as given in Section 8.3.2.
a. Show that, for every position p of T , f (p) ≤ 2n − 2.
b. Show an example of a binary tree with seven nodes that attains the
above upper bound on f (p) for some position p.
R-8.17 Show how to use the Euler tour traversal to compute the level number
f (p), as defined in Section 8.3.2, of each position in a binary tree T .
R-8.18 Let T be a binary tree with n positions that is realized with an array representation A, and let f () be the level numbering function of the positions
of T , as given in Section 8.3.2. Give pseudo-code descriptions of each of
the methods root, parent, left, right, is leaf, and is root.
R-8.19 Our definition of the level numbering function f (p), as given in Section 8.3.2, began with the root having number 0. Some authors prefer
to use a level numbering g(p) in which the root is assigned number 1, because it simplifies the arithmetic for finding neighboring positions. Redo
Exercise R-8.18, but assuming that we use a level numbering g(p) in
which the root is assigned number 1.
R-8.20 Draw a binary tree T that simultaneously satisfies the following:
• Each internal node of T stores a single character.
• A preorder traversal of T yields EXAMFUN.
• An inorder traversal of T yields MAFXUEN.
R-8.21 In what order are positions visited during a preorder traversal of the tree
of Figure 8.8?
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Chapter 8. Trees
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R-8.22 In what order are positions visited during a postorder traversal of the tree
of Figure 8.8?
R-8.23 Let T be an ordered tree with more than one node. Is it possible that the
preorder traversal of T visits the nodes in the same order as the postorder
traversal of T ? If so, give an example; otherwise, explain why this cannot
occur. Likewise, is it possible that the preorder traversal of T visits the
nodes in the reverse order of the postorder traversal of T ? If so, give an
example; otherwise, explain why this cannot occur.
R-8.24 Answer the previous question for the case when T is a proper binary tree
with more than one node.
R-8.25 Consider the example of a breadth-first traversal given in Figure 8.17.
Using the annotated numbers from that figure, describe the contents of
the queue before each pass of the while loop in Code Fragment 8.14. To
get started, the queue has contents {1} before the first pass, and contents
{2, 3, 4} before the second pass.
R-8.26 The collections.deque class supports an extend method that adds a collection of elements to the end of the queue at once. Reimplement the
breadthfirst method of the Tree class to take advantage of this feature.
R-8.27 Give the output of the function parenthesize(T, T.root( )), as described
in Code Fragment 8.25, when T is the tree of Figure 8.8.
R-8.28 What is the running time of parenthesize(T, T.root( )), as given in Code
Fragment 8.25, for a tree T with n nodes?
R-8.29 Describe, in pseudo-code, an algorithm for computing the number of descendants of each node of a binary tree. The algorithm should be based
on the Euler tour traversal.
R-8.30 The build expression tree method of the ExpressionTree class requires
input that is an iterable of string tokens. We used a convenient example, (((3+1)x4)/((9-5)+2)) , in which each character is its own token, so that the string itself sufficed as input to build expression tree.
In general, a string, such as (35 + 14) , must be explicitly tokenized
into list [ ( , 35 , + , 14 , ) ] so as to ignore whitespace and to
recognize multidigit numbers as a single token. Write a utility method,
tokenize(raw), that returns such a list of tokens for a raw string.
Creativity
C-8.31 Define the internal path length, I(T ), of a tree T to be the sum of the
depths of all the internal positions in T . Likewise, define the external path
length, E(T ), of a tree T to be the sum of the depths of all the external
positions in T . Show that if T is a proper binary tree with n positions, then
E(T ) = I(T ) + n − 1.
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8.6. Exercises
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C-8.32 Let T be a (not necessarily proper) binary tree with n nodes, and let D be
the sum of the depths of all the external nodes of T . Show that if T has the
minimum number of external nodes possible, then D is O(n) and if T has
the maximum number of external nodes possible, then D is O(n log n).
C-8.33 Let T be a (possibly improper) binary tree with n nodes, and let D be the
sum of the depths of all the external nodes of T . Describe a configuration
for T such that D is Ω(n2 ). Such a tree would be the worst case for the
asymptotic running time of method height1 (Code Fragment 8.4).
C-8.34 For a tree T , let nI denote the number of its internal nodes, and let nE
denote the number of its external nodes. Show that if every internal node
in T has exactly 3 children, then nE = 2nI + 1.
C-8.35 Two ordered trees T and T are said to be isomorphic if one of the following holds:
• Both T and T are empty.
• The roots of T and T have the same number k ≥ 0 of subtrees, and
the ith such subtree of T is isomorphic to the ith such subtree of T for i = 1, . . . , k.
Design an algorithm that tests whether two given ordered trees are isomorphic. What is the running time of your algorithm?
C-8.36 Show that there are more than 2n improper binary trees with n internal
nodes such that no pair are isomorphic (see Exercise C-8.35).
C-8.37 If we exclude isomorphic trees (see Exercise C-8.35), exactly how many
proper binary trees exist with exactly 4 leaves?
C-8.38 Add support in LinkedBinaryTree for a method, delete subtree(p), that
removes the entire subtree rooted at position p, making sure to maintain
the count on the size of the tree. What is the running time of your implementation?
C-8.39 Add support in LinkedBinaryTree for a method, swap(p,q), that has the
effect of restructuring the tree so that the node referenced by p takes the
place of the node referenced by q, and vice versa. Make sure to properly
handle the case when the nodes are adjacent.
C-8.40 We can simplify parts of our LinkedBinaryTree implementation if we
make use of of a single sentinel node, referenced as the sentinel member
of the tree instance, such that the sentinel is the parent of the real root of
the tree, and the root is referenced as the left child of the sentinel. Furthermore, the sentinel will take the place of None as the value of the left
or right member for a node without such a child. Give a new implementation of the update methods delete and attach, assuming such a
representation.
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C-8.41 Describe how to clone a LinkedBinaryTree instance representing a proper
binary tree, with use of the attach method.
C-8.42 Describe how to clone a LinkedBinaryTree instance representing a (not
necessarily proper) binary tree, with use of the add left and add right
methods.
C-8.43 We can define a binary tree representation T for an ordered general tree
T as follows (see Figure 8.23):
• For each position p of T , there is an associated position p of T .
• If p is a leaf of T , then p in T does not have a left child; otherwise
the left child of p is q , where q is the first child of p in T .
• If p has a sibling q ordered immediately after it in T , then q is the
right child of p in T ; otherwise p does not have a right child.
Given such a representation T of a general ordered tree T , answer each
of the following questions:
a. Is a preorder traversal of T equivalent to a preorder traversal of T ?
b. Is a postorder traversal of T equivalent to a postorder traversal of T ?
c. Is an inorder traversal of T equivalent to one of the standard traversals of T ? If so, which one?
A
A
B
E
C
F
B
D
G
E
C
F
D
G
(a)
(b)
Figure 8.23: Representation of a tree with a binary tree: (a) tree T ; (b) binary tree
T for T . The dashed edges connect nodes of T that are siblings in T .
C-8.44 Give an efficient algorithm that computes and prints, for every position p
of a tree T , the element of p followed by the height of p’s subtree.
C-8.45 Give an O(n)-time algorithm for computing the depths of all positions of
a tree T , where n is the number of nodes of T .
C-8.46 The path length of a tree T is the sum of the depths of all positions in T .
Describe a linear-time method for computing the path length of a tree T .
C-8.47 The balance factor of an internal position p of a proper binary tree is the
difference between the heights of the right and left subtrees of p. Show
how to specialize the Euler tour traversal of Section 8.4.6 to print the
balance factors of all the internal nodes of a proper binary tree.
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C-8.48 Given a proper binary tree T , define the reflection of T to be the binary
tree T such that each node v in T is also in T , but the left child of v in T
is v’s right child in T and the right child of v in T is v’s left child in T .
Show that a preorder traversal of a proper binary tree T is the same as the
postorder traversal of T ’s reflection, but in reverse order.
C-8.49 Let the rank of a position p during a traversal be defined such that the first
element visited has rank 1, the second element visited has rank 2, and so
on. For each position p in a tree T , let pre(p) be the rank of p in a preorder
traversal of T , let post(p) be the rank of p in a postorder traversal of T , let
depth(p) be the depth of p, and let desc(p) be the number of descendants
of p, including p itself. Derive a formula defining post(p) in terms of
desc(p), depth(p), and pre(p), for each node p in T .
C-8.50 Design algorithms for the following operations for a binary tree T :
• preorder next(p): Return the position visited after p in a preorder
traversal of T (or None if p is the last node visited).
• inorder next(p): Return the position visited after p in an inorder
traversal of T (or None if p is the last node visited).
• postorder next(p): Return the position visited after p in a postorder
traversal of T (or None if p is the last node visited).
What are the worst-case running times of your algorithms?
C-8.51 To implement the preorder method of the LinkedBinaryTree class, we relied on the convenience of Python’s generator syntax and the yield statement. Give an alternative implementation of preorder that returns an explicit instance of a nested iterator class. (See Section 2.3.4 for discussion
of iterators.)
C-8.52 Algorithm preorder draw draws a binary tree T by assigning x- and ycoordinates to each position p such that x(p) is the number of nodes preceding p in the preorder traversal of T and y(p) is the depth of p in T .
a. Show that the drawing of T produced by preorder draw has no pairs
of crossing edges.
b. Redraw the binary tree of Figure 8.22 using preorder draw.
C-8.53 Redo the previous problem for the algorithm postorder draw that is similar to preorder draw except that it assigns x(p) to be the number of nodes
preceding position p in the postorder traversal.
C-8.54 Design an algorithm for drawing general trees, using a style similar to the
inorder traversal approach for drawing binary trees.
C-8.55 Exercise P-4.27 described the walk function of the os module. This function performs a traversal of the implicit tree represented by the file system.
Read the formal documentation for the function, and in particular its use
of an optional Boolean parameter named topdown. Describe how its behavior relates to tree traversal algorithms described in this chapter.
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Sales
Domestic
Canada
International
S. America
Africa
Overseas
Europe
Asia
(a)
Australia
Sales (
Domestic
International (
Canada
S. America
Overseas (
Africa
Europe
Asia
Australia
)
)
)
(b)
Figure 8.24: (a) Tree T ; (b) indented parenthetic representation of T .
C-8.56 The indented parenthetic representation of a tree T is a variation of the
parenthetic representation of T (see Code Fragment 8.25) that uses indentation and line breaks as illustrated in Figure 8.24. Give an algorithm that
prints this representation of a tree.
C-8.57 Let T be a binary tree with n positions. Define a Roman position to be
a position p in T , such that the number of descendants in p’s left subtree
differ from the number of descendants in p’s right subtree by at most 5.
Describe a linear-time method for finding each position p of T , such that
p is not a Roman position, but all of p’s descendants are Roman.
C-8.58 Let T be a tree with n positions. Define the lowest common ancestor
(LCA) between two positions p and q as the lowest position in T that has
both p and q as descendants (where we allow a position to be a descendant
of itself ). Given two positions p and q, describe an efficient algorithm for
finding the LCA of p and q. What is the running time of your algorithm?
C-8.59 Let T be a binary tree with n positions, and, for any position p in T , let d p
denote the depth of p in T . The distance between two positions p and q
in T is d p + dq − 2da , where a is the lowest common ancestor (LCA) of p
and q. The diameter of T is the maximum distance between two positions
in T . Describe an efficient algorithm for finding the diameter of T . What
is the running time of your algorithm?
C-8.60 Suppose each position p of a binary tree T is labeled with its value f (p) in
a level numbering of T . Design a fast method for determining f (a) for the
lowest common ancestor (LCA), a, of two positions p and q in T , given
f (p) and f (q). You do not need to find position a, just value f (a).
C-8.61 Give an alternative implementation of the build expression tree method
of the ExpressionTree class that relies on recursion to perform an implicit
Euler tour of the tree that is being built.
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C-8.62 Note that the build expression tree function of the ExpressionTree class
is written in such a way that a leaf token can be any string; for example, it parses the expression (a*(b+c)) . However, within the evaluate
method, an error would occur when attempting to convert a leaf token to
a number. Modify the evaluate method to accept an optional Python dictionary that can be used to map such string variables to numeric values,
with a syntax such as T.evaluate({ a :3, b :1, c :5}). In this way,
the same algebraic expression can be evaluated using different values.
C-8.63 As mentioned in Exercise C-6.22, postfix notation is an unambiguous way
of writing an arithmetic expression without parentheses. It is defined so
that if “(exp1 ) op (exp2 )” is a normal (infix) fully parenthesized expression with operation op, then its postfix equivalent is “pexp1 pexp2 op”,
where pexp1 is the postfix version of exp1 and pexp2 is the postfix version of exp2 . The postfix version of a single number or variable is just
that number or variable. So, for example, the postfix version of the infix
expression “((5 + 2) ∗ (8 − 3))/4” is “5 2 + 8 3 − ∗ 4 /”. Implement a
postfix method of the ExpressionTree class of Section 8.5 that produces
the postfix notation for the given expression.
Projects
P-8.64 Implement the binary tree ADT using the array-based representation described in Section 8.3.2.
P-8.65 Implement the tree ADT using a linked structure as described in Section 8.3.3. Provide a reasonable set of update methods for your tree.
P-8.66 The memory usage for the LinkedBinaryTree class can be streamlined by
removing the parent reference from each node, and instead having each
Position instance keep a member, path, that is a list of nodes representing
the entire path from the root to that position. (This generally saves memory because there are typically relatively few stored position instances.)
Reimplement the LinkedBinaryTree class using this strategy.
P-8.67 A slicing floor plan divides a rectangle with horizontal and vertical sides
using horizontal and vertical cuts. (See Figure 8.25a.) A slicing floor plan
can be represented by a proper binary tree, called a slicing tree, whose
internal nodes represent the cuts, and whose external nodes represent the
basic rectangles into which the floor plan is decomposed by the cuts. (See
Figure 8.25b.) The compaction problem for a slicing floor plan is defined
as follows. Assume that each basic rectangle of a slicing floor plan is
assigned a minimum width w and a minimum height h. The compaction
problem is to find the smallest possible height and width for each rectangle
of the slicing floor plan that is compatible with the minimum dimensions
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E
A
F
C
D
E
A
F
B
B
C
(a)
D
(b)
Figure 8.25: (a) Slicing floor plan; (b) slicing tree associated with the floor plan.
of the basic rectangles. Namely, this problem requires the assignment of
values h(p) and w(p) to each position p of the slicing tree such that:
⎧
if p is a leaf whose basic rectangle has
⎪
w
⎪
⎪
⎪
minimum width w
⎪
⎪
⎪
⎪
⎪
⎪
⎪
if p is an internal position, associated with
⎪
⎪
⎨ max(w(), w(r)) a horizontal cut, with left child and right
w(p) =
child r
⎪
⎪
⎪
⎪
⎪
if p is an internal position, associated with
⎪
⎪
⎪
⎪
w()
+
w(r)
⎪
a vertical cut, with left child and right
⎪
⎪
⎪
⎩
child r
h(p) =
⎧
⎪
⎪
⎪
⎪
⎪
⎪
⎪
⎪
⎪
⎪
⎪
⎪
⎪
⎨
h
if p is a leaf node whose basic rectangle
has minimum height h
h() + h(r)
if p is an internal position, associated with
a horizontal cut, with left child and right
child r
⎪
⎪
⎪
⎪
⎪
⎪
if p is an internal position, associated with
⎪
⎪
⎪
max(h(),
h(r))
⎪
a vertical cut, with left child and right
⎪
⎪
⎪
⎩
child r
Design a data structure for slicing floor plans that supports the operations:
•
•
•
•
•
•
Create a floor plan consisting of a single basic rectangle.
Decompose a basic rectangle by means of a horizontal cut.
Decompose a basic rectangle by means of a vertical cut.
Assign minimum height and width to a basic rectangle.
Draw the slicing tree associated with the floor plan.
Compact and draw the floor plan.
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Chapter Notes
361
P-8.68 Write a program that can play Tic-Tac-Toe effectively. (See Section 5.6.)
To do this, you will need to create a game tree T , which is a tree where
each position corresponds to a game configuration, which, in this case,
is a representation of the Tic-Tac-Toe board. (See Section 8.4.2.) The
root corresponds to the initial configuration. For each internal position p
in T , the children of p correspond to the game states we can reach from
p’s game state in a single legal move for the appropriate player, A (the
first player) or B (the second player). Positions at even depths correspond
to moves for A and positions at odd depths correspond to moves for B.
Leaves are either final game states or are at a depth beyond which we do
not want to explore. We score each leaf with a value that indicates how
good this state is for player A. In large games, like chess, we have to use a
heuristic scoring function, but for small games, like Tic-Tac-Toe, we can
construct the entire game tree and score leaves as +1, 0, −1, indicating
whether player A has a win, draw, or lose in that configuration. A good
algorithm for choosing moves is minimax. In this algorithm, we assign a
score to each internal position p in T , such that if p represents A’s turn, we
compute p’s score as the maximum of the scores of p’s children (which
corresponds to A’s optimal play from p). If an internal node p represents
B’s turn, then we compute p’s score as the minimum of the scores of p’s
children (which corresponds to B’s optimal play from p).
P-8.69 Implement the tree ADT using the binary tree representation described in
Exercise C-8.43. You may adapt the LinkedBinaryTree implementation.
P-8.70 Write a program that takes as input a general tree T and a position p of T
and converts T to another tree with the same set of position adjacencies,
but now with p as its root.
Chapter Notes
Discussions of the classic preorder, inorder, and postorder tree traversal methods can be
found in Knuth’s Fundamental Algorithms book [64]. The Euler tour traversal technique
comes from the parallel algorithms community; it is introduced by Tarjan and Vishkin [93]
and is discussed by JáJá [54] and by Karp and Ramachandran [58]. The algorithm for
drawing a tree is generally considered to be a part of the “folklore” of graph-drawing algorithms. The reader interested in graph drawing is referred to the book by Di Battista,
Eades, Tamassia, and Tollis [34] and the survey by Tamassia and Liotta [92]. The puzzle
in Exercise R-8.12 was communicated by Micha Sharir.
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Chapter
9
Priority Queues
Contents
9.1
9.2
9.3
The Priority Queue Abstract Data Type . . . . . . . . . . .
9.1.1 Priorities . . . . . . . . . . . . . . . . . . . . . . . . . . .
9.1.2 The Priority Queue ADT . . . . . . . . . . . . . . . . . .
Implementing a Priority Queue . . . . . . . . . . . . . . . .
9.2.1 The Composition Design Pattern . . . . . . . . . . . . . .
9.2.2 Implementation with an Unsorted List . . . . . . . . . . .
9.2.3 Implementation with a Sorted List . . . . . . . . . . . . .
Heaps . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
9.3.1 The Heap Data Structure . . . . . . . . . . . . . . . . . .
9.3.2 Implementing a Priority Queue with a Heap . . . . . . . .
9.3.3 Array-Based Representation of a Complete Binary Tree . .
9.3.4 Python Heap Implementation . . . . . . . . . . . . . . . .
9.3.5 Analysis of a Heap-Based Priority Queue . . . . . . . . . .
9.3.6 Bottom-Up Heap Construction
. . . . . . . . . . . . .
9.3.7 Python’s heapq Module . . . . . . . . . . . . . . . . . . .
Sorting with a Priority Queue . . . . . . . . . . . . . . . . .
9.4.1 Selection-Sort and Insertion-Sort . . . . . . . . . . . . . .
9.4.2 Heap-Sort . . . . . . . . . . . . . . . . . . . . . . . . . .
Adaptable Priority Queues . . . . . . . . . . . . . . . . . .
9.5.1 Locators . . . . . . . . . . . . . . . . . . . . . . . . . . .
9.5.2 Implementing an Adaptable Priority Queue . . . . . . . .
Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . .
9.4
9.5
9.6
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363
364
365
365
366
368
370
370
372
376
376
379
380
384
385
386
388
390
390
391
395
9.1. The Priority Queue Abstract Data Type
9.1
363
The Priority Queue Abstract Data Type
9.1.1 Priorities
In Chapter 6, we introduced the queue ADT as a collection of objects that are
added and removed according to the first-in, first-out (FIFO) principle. A company’s customer call center embodies such a model in which waiting customers are
told “calls will be answered in the order that they were received.” In that setting, a
new call is added to the back of the queue, and each time a customer service representative becomes available, he or she is connected with the call that is removed
from the front of the call queue.
In practice, there are many applications in which a queue-like structure is used
to manage objects that must be processed in some way, but for which the first-in,
first-out policy does not suffice. Consider, for example, an air-traffic control center
that has to decide which flight to clear for landing from among many approaching
the airport. This choice may be influenced by factors such as each plane’s distance
from the runway, time spent waiting in a holding pattern, or amount of remaining
fuel. It is unlikely that the landing decisions are based purely on a FIFO policy.
There are other situations in which a “first come, first serve” policy might seem
reasonable, yet for which other priorities come into play. To use another airline
analogy, suppose a certain flight is fully booked an hour prior to departure. Because of the possibility of cancellations, the airline maintains a queue of standby
passengers hoping to get a seat. Although the priority of a standby passenger is
influenced by the check-in time of that passenger, other considerations include the
fare paid and frequent-flyer status. So it may be that an available seat is given to
a passenger who has arrived later than another, if such a passenger is assigned a
better priority by the airline agent.
In this chapter, we introduce a new abstract data type known as a priority queue.
This is a collection of prioritized elements that allows arbitrary element insertion,
and allows the removal of the element that has first priority. When an element is
added to a priority queue, the user designates its priority by providing an associated
key. The element with the minimum key will be the next to be removed from the
queue (thus, an element with key 1 will be given priority over an element with
key 2). Although it is quite common for priorities to be expressed numerically, any
Python object may be used as a key, as long as the object type supports a consistent
meaning for the test a < b, for any instances a and b, so as to define a natural
order of the keys. With such generality, applications may develop their own notion
of priority for each element. For example, different financial analysts may assign
different ratings (i.e., priorities) to a particular asset, such as a share of stock.
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Chapter 9. Priority Queues
364
9.1.2 The Priority Queue ADT
Formally, we model an element and its priority as a key-value pair. We define the
priority queue ADT to support the following methods for a priority queue P:
P.add(k, v): Insert an item with key k and value v into priority queue P.
P.min( ): Return a tuple, (k,v), representing the key and value of an
item in priority queue P with minimum key (but do not remove the item); an error occurs if the priority queue is empty.
P.remove min( ): Remove an item with minimum key from priority queue P,
and return a tuple, (k,v), representing the key and value of the
removed item; an error occurs if the priority queue is empty.
P.is empty( ): Return True if priority queue P does not contain any items.
len(P): Return the number of items in priority queue P.
A priority queue may have multiple entries with equivalent keys, in which case
methods min and remove min may report an arbitrary choice of item having minimum key. Values may be any type of object.
In our initial model for a priority queue, we assume that an element’s key remains fixed once it has been added to a priority queue. In Section 9.5, we consider
an extension that allows a user to update an element’s key within the priority queue.
Example 9.1: The following table shows a series of operations and their effects
on an initially empty priority queue P. The “Priority Queue” column is somewhat
deceiving since it shows the entries as tuples and sorted by key. Such an internal
representation is not required of a priority queue.
Operation
P.add(5,A)
P.add(9,C)
P.add(3,B)
P.add(7,D)
P.min( )
P.remove min( )
P.remove min( )
len(P)
P.remove min( )
P.remove min( )
P.is empty( )
P.remove min( )
Return Value
(3,B)
(3,B)
(5,A)
2
(7,D)
(9,C)
True
“error”
Priority Queue
{(5,A)}
{(5,A), (9,C)}
{(3,B), (5,A), (9,C)}
{(3,B), (5,A), (7,D), (9,C)}
{(3,B), (5,A), (7,D), (9,C)}
{(5,A), (7,D), (9,C)}
{(7,D), (9,C)}
{(7,D), (9,C)}
{(9,C)}
{}
{}
{}
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9.2. Implementing a Priority Queue
9.2
365
Implementing a Priority Queue
In this section, we show how to implement a priority queue by storing its entries in
a positional list L. (See Section 7.4.) We provide two realizations, depending on
whether or not we keep the entries in L sorted by key.
9.2.1 The Composition Design Pattern
One challenge in implementing a priority queue is that we must keep track of both
an element and its key, even as items are relocated within our data structure. This
is reminiscent of a case study from Section 7.6 in which we maintain access counts
with each element. In that setting, we introduced the composition design pattern,
defining an Item class that assured that each element remained paired with its
associated count in our primary data structure.
For priority queues, we will use composition to store items internally as pairs
consisting of a key k and a value v. To implement this concept for all priority queue
implementations, we provide a PriorityQueueBase class (see Code Fragment 9.1)
that includes a definition for a nested class named Item. We define the syntax
a < b, for item instances a and b, to be based upon the keys.
1 class PriorityQueueBase:
2
”””Abstract base class for a priority queue.”””
3
4
class Item:
5
”””Lightweight composite to store priority queue items.”””
slots = _key , _value
6
7
8
def init (self, k, v):
9
self. key = k
10
self. value = v
11
12
def lt (self, other):
# compare items based on their keys
13
return self. key < other. key
14
# concrete method assuming abstract len
15
def is empty(self):
16
”””Return True if the priority queue is empty.”””
17
return len(self) == 0
Code Fragment 9.1: A PriorityQueueBase class with a nested Item class that composes a key and a value into a single object. For convenience, we provide a concrete
implementation of is empty that is based on a presumed len impelementation.
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Chapter 9. Priority Queues
366
9.2.2 Implementation with an Unsorted List
In our first concrete implementation of a priority queue, we store entries within
an unsorted list. Our UnsortedPriorityQueue class is given in Code Fragment 9.2,
inheriting from the PriorityQueueBase class introduced in Code Fragment 9.1. For
internal storage, key-value pairs are represented as composites, using instances of
the inherited Item class. These items are stored within a PositionalList, identified
as the data member of our class. We assume that the positional list is implemented
with a doubly-linked list, as in Section 7.4, so that all operations of that ADT
execute in O(1) time.
We begin with an empty list when a new priority queue is constructed. At all
times, the size of the list equals the number of key-value pairs currently stored in the
priority queue. For this reason, our priority queue len method simply returns
the length of the internal data list. By the design of our PriorityQueueBase class,
we inherit a concrete implementation of the is empty method that relies on a call to
our len method.
Each time a key-value pair is added to the priority queue, via the add method,
we create a new Item composite for the given key and value, and add that item to
the end of the list. Such an implementation takes O(1) time.
The remaining challenge is that when min or remove min is called, we must
locate the item with minimum key. Because the items are not sorted, we must
inspect all entries to find one with a minimum key. For convenience, we define a
nonpublic find min utility that returns the position of an item with minimum key.
Knowledge of the position allows the remove min method to invoke the delete
method on the positional list. The min method simply uses the position to retrieve
the item when preparing a key-value tuple to return. Due to the loop for finding the
minimum key, both min and remove min methods run in O(n) time, where n is the
number of entries in the priority queue.
A summary of the running times for the UnsortedPriorityQueue class is given
in Table 9.1.
Operation
len
is empty
add
min
remove min
Running Time
O(1)
O(1)
O(1)
O(n)
O(n)
Table 9.1: Worst-case running times of the methods of a priority queue of size
n, realized by means of an unsorted, doubly linked list. The space requirement
is O(n).
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9.2. Implementing a Priority Queue
367
1 class UnsortedPriorityQueue(PriorityQueueBase): # base class defines Item
2
”””A min-oriented priority queue implemented with an unsorted list.”””
3
# nonpublic utility
4
def find min(self):
5
”””Return Position of item with minimum key.”””
# is empty inherited from base class
6
if self.is empty( ):
7
raise Empty( Priority queue is empty )
8
small = self. data.first( )
9
walk = self. data.after(small)
10
while walk is not None:
11
if walk.element( ) < small.element( ):
12
small = walk
13
walk = self. data.after(walk)
14
return small
15
16
def init (self):
17
”””Create a new empty Priority Queue.”””
18
self. data = PositionalList( )
19
20
def len (self):
21
”””Return the number of items in the priority queue.”””
22
return len(self. data)
23
24
def add(self, key, value):
25
”””Add a key-value pair.”””
26
self. data.add last(self. Item(key, value))
27
28
def min(self):
29
”””Return but do not remove (k,v) tuple with minimum key.”””
30
p = self. find min( )
31
item = p.element( )
32
return (item. key, item. value)
33
34
def remove min(self):
35
”””Remove and return (k,v) tuple with minimum key.”””
36
p = self. find min( )
37
item = self. data.delete(p)
38
return (item. key, item. value)
Code Fragment 9.2: An implementation of a priority queue using an unsorted
list. The parent class PriorityQueueBase is given in Code Fragment 9.1, and the
PositionalList class is from Section 7.4.
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Chapter 9. Priority Queues
368
9.2.3 Implementation with a Sorted List
An alternative implementation of a priority queue uses a positional list, yet maintaining entries sorted by nondecreasing keys. This ensures that the first element of
the list is an entry with the smallest key.
Our SortedPriorityQueue class is given in Code Fragment 9.3. The implementation of min and remove min are rather straightforward given knowledge that the
first element of a list has a minimum key. We rely on the first method of the positional list to find the position of the first item, and the delete method to remove the
entry from the list. Assuming that the list is implemented with a doubly linked list,
operations min and remove min take O(1) time.
This benefit comes at a cost, however, for method add now requires that we scan
the list to find the appropriate position to insert the new item. Our implementation
starts at the end of the list, walking backward until the new key is smaller than
an existing item; in the worst case, it progresses until reaching the front of the
list. Therefore, the add method takes O(n) worst-case time, where n is the number
of entries in the priority queue at the time the method is executed. In summary,
when using a sorted list to implement a priority queue, insertion runs in linear time,
whereas finding and removing the minimum can be done in constant time.
Comparing the Two List-Based Implementations
Table 9.2 compares the running times of the methods of a priority queue realized
by means of a sorted and unsorted list, respectively. We see an interesting tradeoff when we use a list to implement the priority queue ADT. An unsorted list
supports fast insertions but slow queries and deletions, whereas a sorted list allows
fast queries and deletions, but slow insertions.
Operation
len
is empty
add
min
remove min
Unsorted List
O(1)
O(1)
O(1)
O(n)
O(n)
Sorted List
O(1)
O(1)
O(n)
O(1)
O(1)
Table 9.2: Worst-case running times of the methods of a priority queue of size n,
realized by means of an unsorted or sorted list, respectively. We assume that the
list is implemented by a doubly linked list. The space requirement is O(n).
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9.2. Implementing a Priority Queue
369
1 class SortedPriorityQueue(PriorityQueueBase): # base class defines Item
2
”””A min-oriented priority queue implemented with a sorted list.”””
3
4
def init (self):
5
”””Create a new empty Priority Queue.”””
6
self. data = PositionalList( )
7
8
def len (self):
9
”””Return the number of items in the priority queue.”””
10
return len(self. data)
11
12
def add(self, key, value):
13
”””Add a key-value pair.”””
# make new item instance
14
newest = self. Item(key, value)
# walk backward looking for smaller key
15
walk = self. data.last( )
16
while walk is not None and newest < walk.element( ):
17
walk = self. data.before(walk)
18
if walk is None:
# new key is smallest
19
self. data.add first(newest)
20
else:
# newest goes after walk
21
self. data.add after(walk, newest)
22
23
def min(self):
24
”””Return but do not remove (k,v) tuple with minimum key.”””
25
if self.is empty( ):
26
raise Empty( Priority queue is empty. )
27
p = self. data.first( )
28
item = p.element( )
29
return (item. key, item. value)
30
31
def remove min(self):
32
”””Remove and return (k,v) tuple with minimum key.”””
33
if self.is empty( ):
34
raise Empty( Priority queue is empty. )
35
item = self. data.delete(self. data.first( ))
36
return (item. key, item. value)
Code Fragment 9.3: An implementation of a priority queue using a sorted list.
The parent class PriorityQueueBase is given in Code Fragment 9.1, and the
PositionalList class is from Section 7.4.
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Chapter 9. Priority Queues
370
9.3
Heaps
The two strategies for implementing a priority queue ADT in the previous section
demonstrate an interesting trade-off. When using an unsorted list to store entries,
we can perform insertions in O(1) time, but finding or removing an element with
minimum key requires an O(n)-time loop through the entire collection. In contrast,
if using a sorted list, we can trivially find or remove the minimum element in O(1)
time, but adding a new element to the queue may require O(n) time to restore the
sorted order.
In this section, we provide a more efficient realization of a priority queue using
a data structure called a binary heap. This data structure allows us to perform both
insertions and removals in logarithmic time, which is a significant improvement
over the list-based implementations discussed in Section 9.2. The fundamental
way the heap achieves this improvement is to use the structure of a binary tree to
find a compromise between elements being entirely unsorted and perfectly sorted.
9.3.1 The Heap Data Structure
A heap (see Figure 9.1) is a binary tree T that stores a collection of items at its
positions and that satisfies two additional properties: a relational property defined
in terms of the way keys are stored in T and a structural property defined in terms
of the shape of T itself. The relational property is the following:
Heap-Order Property: In a heap T , for every position p other than the root, the
key stored at p is greater than or equal to the key stored at p’s parent.
As a consequence of the heap-order property, the keys encountered on a path from
the root to a leaf of T are in nondecreasing order. Also, a minimum key is always
stored at the root of T . This makes it easy to locate such an item when min or
remove min is called, as it is informally said to be “at the top of the heap” (hence,
the name “heap” for the data structure). By the way, the heap data structure defined
here has nothing to do with the memory heap (Section 15.1.1) used in the run-time
environment supporting a programming language like Python.
For the sake of efficiency, as will become clear later, we want the heap T to have
as small a height as possible. We enforce this requirement by insisting that the heap
T satisfy an additional structural property—it must be what we term complete.
Complete Binary Tree Property: A heap T with height h is a complete binary tree
if levels 0, 1, 2, . . . , h − 1 of T have the maximum number of nodes possible
(namely, level i has 2i nodes, for 0 ≤ i ≤ h − 1) and the remaining nodes at
level h reside in the leftmost possible positions at that level.
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9.3. Heaps
371
(4,C)
(5,A)
(6,Z)
(15,K)
(16,X)
(25,J)
(9,F)
(14,E)
(7,Q)
(12,H)
(11,S)
(20,B)
(13,W)
Figure 9.1: Example of a heap storing 13 entries with integer keys. The last position
is the one storing entry (13,W ).
The tree in Figure 9.1 is complete because levels 0, 1, and 2 are full, and the six
nodes in level 3 are in the six leftmost possible positions at that level. In formalizing
what we mean by the leftmost possible positions, we refer to the discussion of level
numbering from Section 8.3.2, in the context of an array-based representation of a
binary tree. (In fact, in Section 9.3.3 we will discuss the use of an array to represent
a heap.) A complete binary tree with n elements is one that has positions with level
numbering 0 through n − 1. For example, in an array-based representation of the
above tree, its 13 entries would be stored consecutively from A[0] to A[12].
The Height of a Heap
Let h denote the height of T . Insisting that T be complete also has an important
consequence, as shown in Proposition 9.2.
Proposition 9.2: A heap T storing n entries has height h = log n.
Justification: From the fact that T is complete, we know that the number of
nodes in levels 0 through h − 1 of T is precisely 1+ 2 + 4 + · · · + 2h−1 = 2h − 1, and
that the number of nodes in level h is at least 1 and at most 2h . Therefore
n ≥ 2h − 1 + 1 = 2h
and
n ≤ 2h − 1 + 2h = 2h+1 − 1.
By taking the logarithm of both sides of inequality 2h ≤ n, we see that height
h ≤ log n. By rearranging terms and taking the logarithm of both sides of inequality
n ≤ 2h+1 − 1, we see that log(n + 1) − 1 ≤ h. Since h is an integer, these two
inequalities imply that h = log n.
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Chapter 9. Priority Queues
372
9.3.2 Implementing a Priority Queue with a Heap
Proposition 9.2 has an important consequence, for it implies that if we can perform
update operations on a heap in time proportional to its height, then those operations will run in logarithmic time. Let us therefore turn to the problem of how to
efficiently perform various priority queue methods using a heap.
We will use the composition pattern from Section 9.2.1 to store key-value pairs
as items in the heap. The len and is empty methods can be implemented based
on examination of the tree, and the min operation is equally trivial because the
heap property assures that the element at the root of the tree has a minimum key.
The interesting algorithms are those for implementing the add and remove min
methods.
Adding an Item to the Heap
Let us consider how to perform add(k,v) on a priority queue implemented with a
heap T . We store the pair (k, v) as an item at a new node of the tree. To maintain
the complete binary tree property, that new node should be placed at a position p
just beyond the rightmost node at the bottom level of the tree, or as the leftmost
position of a new level, if the bottom level is already full (or if the heap is empty).
Up-Heap Bubbling After an Insertion
After this action, the tree T is complete, but it may violate the heap-order property.
Hence, unless position p is the root of T (that is, the priority queue was empty
before the insertion), we compare the key at position p to that of p’s parent, which
we denote as q. If key k p ≥ kq , the heap-order property is satisfied and the algorithm
terminates. If instead k p < kq , then we need to restore the heap-order property,
which can be locally achieved by swapping the entries stored at positions p and q.
(See Figure 9.2c and d.) This swap causes the new item to move up one level.
Again, the heap-order property may be violated, so we repeat the process, going up
in T until no violation of the heap-order property occurs. (See Figure 9.2e and h.)
The upward movement of the newly inserted entry by means of swaps is conventionally called up-heap bubbling. A swap either resolves the violation of the
heap-order property or propagates it one level up in the heap. In the worst case, upheap bubbling causes the new entry to move all the way up to the root of heap T .
Thus, in the worst case, the number of swaps performed in the execution of method
add is equal to the height of T . By Proposition 9.2, that bound is log n.
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373
(4,C)
(4,C)
(5,A)
(15,K)
(16,X)
(9,F)
(25,J)
(5,A)
(6,Z)
(14,E)
(7,Q)
(12,H)
(11,S)
(20,B)
(15,K)
(16,X)
(13,W)
(6,Z)
(9,F)
(25,J)
(14,E)
(12,H)
(a)
(6,Z)
(9,F)
(5,A)
(7,Q)
(15,K)
(20,B)
(25,J)
(14,E)
(12,H)
(11,S)
(9,F)
(13,W)
(16,X)
(25,J)
(25,J)
(14,E)
(12,H)
(7,Q)
(12,H)
(11,S)
(15,K)
(6,Z)
(13,W)
(20,B)
(16,X)
(25,J)
(9,F)
(14,E)
(16,X)
(25,J)
(14,E)
(12,H)
(11,S)
(6,Z)
(13,W)
(20,B)
(2,T)
(5,A)
(7,Q)
(12,H)
(7,Q)
(f )
(4,C)
(9,F)
(20,B)
(2,T)
(2,T)
(15,K)
(13,W)
(5,A)
(e)
(5,A)
(11,S)
(4,C)
(2,T)
(14,E)
(2,T)
(d)
(5,A)
(16,X)
(7,Q)
(2,T)
(4,C)
(9,F)
(2,T)
(6,Z)
(c)
(15,K)
(13,W)
(4,C)
(5,A)
(16,X)
(11,S)
(20,B)
(b)
(4,C)
(15,K)
(7,Q)
(11,S)
(13,W)
(6,Z)
(20,B)
(15,K)
(16,X)
(25,J)
(g)
(4,C)
(9,F)
(14,E)
(7,Q)
(12,H)
(11,S)
(13,W)
(6,Z)
(20,B)
(h)
Figure 9.2: Insertion of a new entry with key 2 into the heap of Figure 9.1: (a)
initial heap; (b) after performing operation add; (c and d) swap to locally restore
the partial order property; (e and f ) another swap; (g and h) final swap.
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Removing the Item with Minimum Key
Let us now turn to method remove min of the priority queue ADT. We know that
an entry with the smallest key is stored at the root r of T (even if there is more than
one entry with smallest key). However, in general we cannot simply delete node r,
because this would leave two disconnected subtrees.
Instead, we ensure that the shape of the heap respects the complete binary tree
property by deleting the leaf at the last position p of T , defined as the rightmost
position at the bottommost level of the tree. To preserve the item from the last
position p, we copy it to the root r (in place of the item with minimum key that is
being removed by the operation). Figure 9.3a and b illustrates an example of these
steps, with minimal item (4,C) being removed from the root and replaced by item
(13,W ) from the last position. The node at the last position is removed from the
tree.
Down-Heap Bubbling After a Removal
We are not yet done, however, for even though T is now complete, it likely violates
the heap-order property. If T has only one node (the root), then the heap-order
property is trivially satisfied and the algorithm terminates. Otherwise, we distinguish two cases, where p initially denotes the root of T :
• If p has no right child, let c be the left child of p.
• Otherwise (p has both children), let c be a child of p with minimal key.
If key k p ≤ kc , the heap-order property is satisfied and the algorithm terminates. If
instead k p > kc , then we need to restore the heap-order property. This can be locally
achieved by swapping the entries stored at p and c. (See Figure 9.3c and d.) It is
worth noting that when p has two children, we intentionally consider the smaller
key of the two children. Not only is the key of c smaller than that of p, it is at
least as small as the key at c’s sibling. This ensures that the heap-order property is
locally restored when that smaller key is promoted above the key that had been at
p and that at c’s sibling.
Having restored the heap-order property for node p relative to its children, there
may be a violation of this property at c; hence, we may have to continue swapping
down T until no violation of the heap-order property occurs. (See Figure 9.3e–h.)
This downward swapping process is called down-heap bubbling. A swap either
resolves the violation of the heap-order property or propagates it one level down in
the heap. In the worst case, an entry moves all the way down to the bottom level.
(See Figure 9.3.) Thus, the number of swaps performed in the execution of method
remove min is, in the worst case, equal to the height of heap T , that is, it is log n
by Proposition 9.2.
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(4,C)
(13,W)
(13,W)
(5,A)
(15,K)
(16,X)
(6,Z)
(9,F)
(25,J)
(14,E)
(7,Q)
(12,H)
(5,A)
(20,B)
(11,S)
(6,Z)
(15,K)
(16,X)
(9,F)
(25,J)
(14,E)
(12,H)
(a)
(14,E)
(7,Q)
(12,H)
(13,W)
(6,Z)
(9,F)
(25,J)
(20,B)
(15,K)
(16,X)
(11,S)
(6,Z)
(9,F)
(25,J)
(14,E)
(9,F)
(6,Z)
(7,Q)
(13,W)
(14,E)
(12,H)
(20,B)
(15,K)
(16,X)
(11,S)
(6,Z)
(25,J)
(13,W)
(14,E)
(11,S)
(5,A)
(9,F)
(9,F)
(6,Z)
(15,K)
(7,Q)
(25,J)
(20,B)
(f )
(5,A)
(16,X)
(7,Q)
(12,H)
(e)
(13,W)
(11,S)
(5,A)
(9,F)
(25,J)
(20,B)
(d)
(5,A)
(16,X)
(7,Q)
(12,H)
(c)
(15,K)
(11,S)
(5,A)
(5,A)
(16,X)
(20,B)
(b)
(13,W)
(15,K)
(7,Q)
(20,B)
(15,K)
(6,Z)
(12,H)
(7,Q)
(20,B)
(12,H)
(14,E)
(11,S)
(16,X)
(25,J)
(g)
(14,E)
(13,W)
(11,S)
(h)
Figure 9.3: Removal of the entry with the smallest key from a heap: (a and b)
deletion of the last node, whose entry gets stored into the root; (c and d) swap to
locally restore the heap-order property; (e and f ) another swap; (g and h) final swap.
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9.3.3 Array-Based Representation of a Complete Binary Tree
The array-based representation of a binary tree (Section 8.3.2) is especially suitable
for a complete binary tree T . We recall that in this implementation, the elements
of T are stored in an array-based list A such that the element at position p in T is
stored in A with index equal to the level number f (p) of p, defined as follows:
• If p is the root of T , then f (p) = 0.
• If p is the left child of position q, then f (p) = 2 f (q) + 1.
• If p is the right child of position q, then f (p) = 2 f (q) + 2.
With this implementation, the elements of T have contiguous indices in the range
[0, n − 1] and the last position of T is always at index n − 1, where n is the number
of positions of T . For example, Figure 9.4 illustrates the array-based representation
of the heap structure originally portrayed in Figure 9.1.
(4,C) (5,A) (6,Z) (15,K) (9,F) (7,Q) (20,B) (16,X) (25,J) (14,E) (12,H) (11,S) (8,W)
0
1
2
3
4
5
6
7
8
9
10
11
12
Figure 9.4: An array-based representation of the heap from Figure 9.1.
Implementing a priority queue using an array-based heap representation allows
us to avoid some complexities of a node-based tree structure. In particular, the add
and remove min operations of a priority queue both depend on locating the last
index of a heap of size n. With the array-based representation, the last position
is at index n − 1 of the array. Locating the last position of a complete binary tree
implemented with a linked structure requires more effort. (See Exercise C-9.34.)
If the size of a priority queue is not known in advance, use of an array-based
representation does introduce the need to dynamically resize the array on occasion,
as is done with a Python list. The space usage of such an array-based representation
of a complete binary tree with n nodes is O(n), and the time bounds of methods for
adding or removing elements become amortized. (See Section 5.3.1.)
9.3.4 Python Heap Implementation
We provide a Python implementation of a heap-based priority queue in Code Fragments 9.4 and 9.5. We use an array-based representation, maintaining a Python list
of item composites. Although we do not formally use the binary tree ADT, Code
Fragment 9.4 includes nonpublic utility functions that compute the level numbering
of a parent or child of another. This allows us to describe the rest of our algorithms
using tree-like terminology of parent, left, and right. However, the relevant variables are integer indexes (not “position” objects). We use recursion to implement
the repetition in the upheap and downheap utilities.
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1 class HeapPriorityQueue(PriorityQueueBase): # base class defines Item
2
”””A min-oriented priority queue implemented with a binary heap.”””
3
#------------------------------ nonpublic behaviors -----------------------------4
def parent(self, j):
5
return (j−1) // 2
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def left(self, j):
8
return 2 j + 1
9
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def right(self, j):
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return 2 j + 2
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def has left(self, j):
14
return self. left(j) < len(self. data)
# index beyond end of list?
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def has right(self, j):
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return self. right(j) < len(self. data) # index beyond end of list?
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def swap(self, i, j):
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”””Swap the elements at indices i and j of array.”””
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self. data[i], self. data[j] = self. data[j], self. data[i]
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def upheap(self, j):
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parent = self. parent(j)
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if j > 0 and self. data[j] < self. data[parent]:
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self. swap(j, parent)
# recur at position of parent
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self. upheap(parent)
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def downheap(self, j):
30
if self. has left(j):
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left = self. left(j)
# although right may be smaller
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small child = left
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if self. has right(j):
34
right = self. right(j)
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if self. data[right] < self. data[left]:
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small child = right
37
if self. data[small child] < self. data[j]:
38
self. swap(j, small child)
# recur at position of small child
39
self. downheap(small child)
Code Fragment 9.4: An implementation of a priority queue using an array-based
heap (continued in Code Fragment 9.5). The extends the PriorityQueueBase class
from Code Fragment 9.1.
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#------------------------------ public behaviors -----------------------------def init (self):
”””Create a new empty Priority Queue.”””
self. data = [ ]
def len (self):
”””Return the number of items in the priority queue.”””
return len(self. data)
def add(self, key, value):
”””Add a key-value pair to the priority queue.”””
self. data.append(self. Item(key, value))
# upheap newly added position
self. upheap(len(self. data) − 1)
def min(self):
”””Return but do not remove (k,v) tuple with minimum key.
Raise Empty exception if empty.
”””
if self.is empty( ):
raise Empty( Priority queue is empty. )
item = self. data[0]
return (item. key, item. value)
def remove min(self):
”””Remove and return (k,v) tuple with minimum key.
Raise Empty exception if empty.
”””
if self.is empty( ):
raise Empty( Priority queue is empty. )
# put minimum item at the end
self. swap(0, len(self. data) − 1)
# and remove it from the list;
item = self. data.pop( )
# then fix new root
self. downheap(0)
return (item. key, item. value)
Code Fragment 9.5: An implementation of a priority queue using an array-based
heap (continued from Code Fragment 9.4).
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9.3.5 Analysis of a Heap-Based Priority Queue
Table 9.3 shows the running time of the priority queue ADT methods for the heap
implementation of a priority queue, assuming that two keys can be compared in
O(1) time and that the heap T is implemented with an array-based or linked-based
tree representation.
In short, each of the priority queue ADT methods can be performed in O(1) or
in O(log n) time, where n is the number of entries at the time the method is executed. The analysis of the running time of the methods is based on the following:
• The heap T has n nodes, each storing a reference to a key-value pair.
• The height of heap T is O(log n), since T is complete (Proposition 9.2).
• The min operation runs in O(1) because the root of the tree contains such an
element.
• Locating the last position of a heap, as required for add and remove min,
can be performed in O(1) time for an array-based representation, or O(log n)
time for a linked-tree representation. (See Exercise C-9.34.)
• In the worst case, up-heap and down-heap bubbling perform a number of
swaps equal to the height of T .
Operation
len(P), P.is empty( )
P.min( )
P.add( )
P.remove min( )
∗ amortized, if array-based
Running Time
O(1)
O(1)
O(log n)∗
O(log n)∗
Table 9.3: Performance of a priority queue, P, realized by means of a heap. We
let n denote the number of entries in the priority queue at the time an operation is
executed. The space requirement is O(n). The running time of operations min and
remove min are amortized for an array-based representation, due to occasional resizing of a dynamic array; those bounds are worst case with a linked tree structure.
We conclude that the heap data structure is a very efficient realization of the
priority queue ADT, independent of whether the heap is implemented with a linked
structure or an array. The heap-based implementation achieves fast running times
for both insertion and removal, unlike the implementations that were based on using
an unsorted or sorted list.
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9.3.6 Bottom-Up Heap Construction If we start with an initially empty heap, n successive calls to the add operation will
run in O(n log n) time in the worst case. However, if all n key-value pairs to be
stored in the heap are given in advance, such as during the first phase of the heapsort algorithm, there is an alternative bottom-up construction method that runs in
O(n) time. (Heap-sort, however, still requires Θ(n log n) time because of the second
phase in which we repeatedly remove the remaining element with smallest key.)
In this section, we describe the bottom-up heap construction, and provide an
implementation that can be used by the constructor of a heap-based priority queue.
For simplicity of exposition, we describe this bottom-up heap construction assuming the number of keys, n, is an integer such that n = 2h+1 − 1. That is,
the heap is a complete binary tree with every level being full, so the heap has
height h = log(n + 1) − 1. Viewed nonrecursively, bottom-up heap construction
consists of the following h + 1 = log(n + 1) steps:
1. In the first step (see Figure 9.5b), we construct (n + 1)/2 elementary heaps
storing one entry each.
2. In the second step (see Figure 9.5c–d), we form (n+ 1)/4 heaps, each storing
three entries, by joining pairs of elementary heaps and adding a new entry.
The new entry is placed at the root and may have to be swapped with the
entry stored at a child to preserve the heap-order property.
3. In the third step (see Figure 9.5e–f ), we form (n + 1)/8 heaps, each storing
7 entries, by joining pairs of 3-entry heaps (constructed in the previous step)
and adding a new entry. The new entry is placed initially at the root, but may
have to move down with a down-heap bubbling to preserve the heap-order
property.
..
.
i. In the generic ith step, 2 ≤ i ≤ h, we form (n+ 1)/2i heaps, each storing 2i − 1
entries, by joining pairs of heaps storing (2i−1 − 1) entries (constructed in the
previous step) and adding a new entry. The new entry is placed initially at
the root, but may have to move down with a down-heap bubbling to preserve
the heap-order property.
..
.
h + 1. In the last step (see Figure 9.5g–h), we form the final heap, storing all the
n entries, by joining two heaps storing (n − 1)/2 entries (constructed in the
previous step) and adding a new entry. The new entry is placed initially at
the root, but may have to move down with a down-heap bubbling to preserve
the heap-order property.
We illustrate bottom-up heap construction in Figure 9.5 for h = 3.
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15
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(a)
25
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(f )
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(g)
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(e)
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(d)
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(c)
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(b)
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(h)
Figure 9.5: Bottom-up construction of a heap with 15 entries: (a and b) we begin by
constructing 1-entry heaps on the bottom level; (c and d) we combine these heaps
into 3-entry heaps, and then (e and f ) 7-entry heaps, until (g and h) we create the
final heap. The paths of the down-heap bubblings are highlighted in (d, f, and h).
For simplicity, we only show the key within each node instead of the entire entry.
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Python Implementation of a Bottom-Up Heap Construction
Implementing a bottom-up heap construction is quite easy, given the existence of
a “down-heap” utility function. The “merging” of two equally sized heaps that
are subtrees of a common position p, as described in the opening of this section,
can be accomplished simply by down-heaping p’s entry. For example, that is what
happened to the key 14 in going from Figure 9.5(f ) to (g).
With our array-based representation of a heap, if we initially store all n items in
arbitrary order within the array, we can implement the bottom-up heap construction
process with a single loop that makes a call to downheap from each position of
the tree, as long as those calls are ordered starting with the deepest level and ending
with the root of the tree. In fact, that loop can start with the deepest nonleaf, since
there is no effect when down-heap is called at a leaf position.
In Code Fragment 9.6, we augment the original HeapPriorityQueue class from
Section 9.3.4 to provide support for the bottom-up construction of an initial collection. We introduce a nonpublic utility method, heapify, that calls downheap
on each nonleaf position, beginning with the deepest and concluding with a call at
the root of the tree. We have redesigned the constructor of the class to accept an
optional parameter that can be any sequence of (k,v) tuples. Rather than initializing
self. data to an empty list, we use a list comprehension syntax (see Section 1.9.2)
to create an initial list of item composites based on the given contents. We declare an empty sequence as the default parameter value so that the default syntax
HeapPriorityQueue( ) continues to result in an empty priority queue.
def init (self, contents=( )):
”””Create a new priority queue.
By default, queue will be empty. If contents is given, it should be as an
iterable sequence of (k,v) tuples specifying the initial contents.
”””
# empty by default
self. data = [ self. Item(k,v) for k,v in contents ]
if len(self. data) > 1:
self. heapify( )
def heapify(self):
start = self. parent(len(self) − 1)
for j in range(start, −1, −1):
self. downheap(j)
# start at PARENT of last leaf
# going to and including the root
Code Fragment 9.6: Revision to the HeapPriorityQueue class of Code Fragments 9.4 and 9.5 to support a linear-time construction given an initial sequence
of entries.
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383
Asymptotic Analysis of Bottom-Up Heap Construction
Bottom-up heap construction is asymptotically faster than incrementally inserting
n keys into an initially empty heap. Intuitively, we are performing a single downheap operation at each position in the tree, rather than a single up-heap operation
from each. Since more nodes are closer to the bottom of a tree than the top, the
sum of the downward paths is linear, as shown in the following proposition.
Proposition 9.3: Bottom-up construction of a heap with n entries takes O(n)
time, assuming two keys can be compared in O(1) time.
Justification: The primary cost of the construction is due to the down-heap
steps performed at each nonleaf position. Let πv denote the path of T from nonleaf
node v to its “inorder successor” leaf, that is, the path that starts at v, goes to the
right child of v, and then goes down leftward until it reaches a leaf. Although,
πv is not necessarily the path followed by the down-heap bubbling step from v,
the length πv (its number of edges) is proportional to the height of the subtree
rooted at v, and thus a bound on the complexity of the down-heap operation at v.
We can bound the total running time of the bottom-up heap construction algorithm
based on the sum of the sizes of paths, ∑v πv . For intuition, Figure 9.6 illustrates
the justification “visually,” marking each edge with the label of the nonleaf node v
whose path πv contains that edge.
We claim that the paths πv for all nonleaf v are edge-disjoint, and thus the sum
of the path lengths is bounded by the number of total edges in the tree, hence O(n).
To show this, we consider what we term “right-leaning” and “left-leaning” edges
(i.e., those going from a parent to a right, respectively left, child). A particular rightleaning edge e can only be part of the path πv for node v that is the parent in the
relationship represented by e. Left-leaning edges can be partitioned by considering
the leaf that is reached if continuing down leftward until reaching a leaf. Each
nonleaf node only uses left-leaning edges in the group leading to that nonleaf node’s
inorder successor. Since each nonleaf node must have a different inorder successor,
no two such paths can contain the same left-leaning edge. We conclude that the
bottom-up construction of heap T takes O(n) time.
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Figure 9.6: Visual justification of the linear running time of bottom-up heap construction. Each edge e is labeled with a node v for which πv contains e (if any).
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9.3.7 Python’s heapq Module
Python’s standard distribution includes a heapq module that provides support for
heap-based priority queues. That module does not provide any priority queue class;
instead it provides functions that allow a standard Python list to be managed as a
heap. Its model is essentially the same as our own, with n elements stored in list
cells L[0] through L[n − 1], based on the level-numbering indices with the smallest element at the root in L[0]. We note that heapq does not separately manage
associated values; elements serve as their own key.
The heapq module supports the following functions, all of which presume that
existing list L satisfies the heap-order property prior to the call:
heappush(L, e): Push element e onto list L and restore the heap-order
property. The function executes in O(log n) time.
heappop(L): Pop and return the element with smallest value from list L,
and reestablish the heap-order property. The operation
executes in O(log n) time.
heappushpop(L, e): Push element e on list L and then pop and return the
smallest item. The time is O(log n), but it is slightly more
efficient than separate calls to push and pop because the
size of the list never changes. If the newly pushed element becomes the smallest, it is immediately returned.
Otherwise, the new element takes the place of the popped
element at the root and a down-heap is performed.
heapreplace(L, e): Similar to heappushpop, but equivalent to the pop being performed before the push (in other words, the new
element cannot be returned as the smallest). Again, the
time is O(log n), but it is more efficient that two separate
operations.
The module supports additional functions that operate on sequences that do not
previously satisfy the heap-order property.
heapify(L): Transform unordered list to satisfy the heap-order property. This executes in O(n) time by using the bottom-up
construction algorithm.
nlargest(k, iterable): Produce a list of the k largest values from a given iterable.
This can be implemented to run in O(n + k log n) time,
where we use n to denote the length of the iterable (see
Exercise C-9.42).
nsmallest(k, iterable): Produce a list of the k smallest values from a given iterable. This can be implemented to run in O(n + k log n)
time, using similar technique as with nlargest.
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9.4. Sorting with a Priority Queue
9.4
385
Sorting with a Priority Queue
In defining the priority queue ADT, we noted that any type of object can be used as
a key, but that any pair of keys must be comparable to each other, and that the set
of keys be naturally ordered. In Python, it is common to rely on the < operator to
define such an order, in which case the following properties must be satisfied:
• Irreflexive property: k < k.
• Transitive property: if k1 < k2 and k2 < k3 , then k1 < k3 .
Formally, such a relationship defines what is known as a strict weak order, as it
allows for keys to be considered equal to each other, but the broader equivalence
classes are totally ordered, as they can be uniquely arranged from smallest to largest
due to the transitive property.
As our first application of priority queues, we demonstrate how they can be
used to sort a collection C of comparable elements. That is, we can produce a
sequence of elements of C in increasing order (or at least in nondecreasing order if
there are duplicates). The algorithm is quite simple—we insert all elements into an
initially empty priority queue, and then we repeatedly call remove min to retrieve
the elements in nondecreasing order.
An implementation of this algorithm is given in Code Fragment 9.7, assuming
that C is a positional list. (See Chapter 7.4.) We use an original element of the
collection as both a key and value when calling P.add(element, element).
1 def pq sort(C):
2
”””Sort a collection of elements stored in a positional list.”””
3
n = len(C)
4
P = PriorityQueue( )
5
for j in range(n):
6
element = C.delete(C.first( ))
7
P.add(element, element)
# use element as key and value
8
for j in range(n):
9
(k,v) = P.remove min( )
# store smallest remaining element in C
10
C.add last(v)
Code Fragment 9.7: An implementation of the pq sort function, assuming an appropriate implementation of a PriorityQueue class. Note that each element of the
input list C serves as its own key in the priority queue P.
With a minor modification to this code, we can provide more general support, sorting elements according to an ordering other than the default. For example, when working with strings, the < operator defines a lexicographic ordering,
which is an extension of the alphabetic ordering to Unicode. For example, we have
that 12 < 4 because of the order of the first character of each string, just as
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Chapter 9. Priority Queues
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apple < banana . Suppose that we have an application in which we have a
list of strings that are all known to represent integral values (e.g., 12 ), and our
goal is to sort the strings according to those integral values.
In Python, the standard approach for customizing the order for a sorting algorithm is to provide, as an optional parameter to the sorting function, an object that
is itself a one-parameter function that computes a key for a given element. (See
Sections 1.5 and 1.10 for a discussion of this approach in the context of the builtin max function.) For example, with a list of (numeric) strings, we might wish
to use the value of int(s) as a key for a string s of the list. In this case, the constructor for the int class can serve as the one-parameter function for computing a
key. In that way, the string 4 will be ordered before string 12 because its key
int( 4 ) < int( 12 ). We leave it as an exercise to support such an optional key
parameter for the pq sort function. (See Exercise C-9.46.)
9.4.1 Selection-Sort and Insertion-Sort
Our pq sort function works correctly given any valid implementation of the priority queue class. However, the running time of the sorting algorithm depends
on the running times of the operations add and remove min for the given priority
queue class. We next discuss a choice of priority queue implementations that in
effect cause the pq sort computation to behave as one of several classic sorting
algorithms.
Selection-Sort
If we implement P with an unsorted list, then Phase 1 of pq sort takes O(n) time,
for we can add each element in O(1) time. In Phase 2, the running time of each
remove min operation is proportional to the size of P. Thus, the bottleneck computation is the repeated “selection” of the minimum element in Phase 2. For this
reason, this algorithm is better known as selection-sort. (See Figure 9.7.)
As noted above, the bottleneck is in Phase 2 where we repeatedly remove an
entry with smallest key from the priority queue P. The size of P starts at n and
incrementally decreases with each remove min until it becomes 0. Thus, the first
operation takes time O(n), the second one takes time O(n − 1), and so on. Therefore, the total time needed for the second phase is
O (n + (n − 1) + · · · + 2 + 1) = O (∑ni=1 i) .
By Proposition 3.3, we have ∑ni=1 i = n(n + 1)/2. Thus, Phase 2 takes time O(n2 ),
as does the entire selection-sort algorithm.
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9.4. Sorting with a Priority Queue
Input
Phase 1
Phase 2
387
(a)
(b)
..
.
Collection C
(7, 4, 8, 2, 5, 3)
(4, 8, 2, 5, 3)
(8, 2, 5, 3)
..
.
Priority Queue P
()
(7)
(7, 4)
..
.
(f )
(a)
(b)
(c)
(d)
(e)
(f )
()
(2)
(2, 3)
(2, 3, 4)
(2, 3, 4, 5)
(2, 3, 4, 5, 7)
(2, 3, 4, 5, 7, 8)
(7, 4, 8, 2, 5, 3)
(7, 4, 8, 5, 3)
(7, 4, 8, 5)
(7, 8, 5)
(7, 8)
(8)
()
Figure 9.7: Execution of selection-sort on collection C = (7, 4, 8, 2, 5, 3).
Insertion-Sort
If we implement the priority queue P using a sorted list, then we improve the running time of Phase 2 to O(n), for each remove min operation on P now takes O(1)
time. Unfortunately, Phase 1 becomes the bottleneck for the running time, since,
in the worst case, each add operation takes time proportional to the current size of
P. This sorting algorithm is better known as insertion-sort (see Figure 9.8); in fact,
our implementation for adding an element to a priority queue is almost identical to
a step of insertion-sort as presented in Section 7.5.
The worst-case running time of Phase 1 of insertion-sort is
O(1 + 2 + . . . + (n − 1) + n) = O (∑ni=1 i) .
Again, by Proposition 3.3, this implies a worst-case O(n2 ) time for Phase 1, and
thus, the entire insertion-sort algorithm. However, unlike selection-sort, insertionsort has a best-case running time of O(n).
Input
Phase 1
Phase 2
(a)
(b)
(c)
(d)
(e)
(f )
(a)
(b)
..
.
Collection C
(7, 4, 8, 2, 5, 3)
(4, 8, 2, 5, 3)
(8, 2, 5, 3)
(2, 5, 3)
(5, 3)
(3)
()
(2)
(2, 3)
..
.
Priority Queue P
()
(7)
(4, 7)
(4, 7, 8)
(2, 4, 7, 8)
(2, 4, 5, 7, 8)
(2, 3, 4, 5, 7, 8)
(3, 4, 5, 7, 8)
(4, 5, 7, 8)
..
.
(f )
(2, 3, 4, 5, 7, 8)
()
Figure 9.8: Execution of insertion-sort on collection C = (7, 4, 8, 2, 5, 3).
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9.4.2 Heap-Sort
As we have previously observed, realizing a priority queue with a heap has the
advantage that all the methods in the priority queue ADT run in logarithmic time or
better. Hence, this realization is suitable for applications where fast running times
are sought for all the priority queue methods. Therefore, let us again consider the
pq sort scheme, this time using a heap-based implementation of the priority queue.
During Phase 1, the ith add operation takes O(log i) time, since the heap has i
entries after the operation is performed. Therefore this phase takes O(n log n) time.
(It could be improved to O(n) with the bottom-up heap construction described in
Section 9.3.6.)
During the second phase of pq sort, the jth remove min operation runs in
O(log(n − j + 1)), since the heap has n − j + 1 entries at the time the operation
is performed. Summing over all j, this phase takes O(n log n) time, so the entire
priority-queue sorting algorithm runs in O(n log n) time when we use a heap to implement the priority queue. This sorting algorithm is better known as heap-sort,
and its performance is summarized in the following proposition.
Proposition 9.4: The heap-sort algorithm sorts a collection C of n elements in
O(n log n) time, assuming two elements of C can be compared in O(1) time.
Let us stress that the O(n log n) running time of heap-sort is considerably better
than the O(n2 ) running time of selection-sort and insertion-sort (Section 9.4.1).
Implementing Heap-Sort In-Place
If the collection C to be sorted is implemented by means of an array-based sequence, most notably as a Python list, we can speed up heap-sort and reduce its
space requirement by a constant factor using a portion of the list itself to store the
heap, thus avoiding the use of an auxiliary heap data structure. This is accomplished
by modifying the algorithm as follows:
1. We redefine the heap operations to be a maximum-oriented heap, with each
position’s key being at least as large as its children. This can be done by
recoding the algorithm, or by adjusting the notion of keys to be negatively
oriented. At any time during the execution of the algorithm, we use the left
portion of C, up to a certain index i − 1, to store the entries of the heap, and
the right portion of C, from index i to n − 1, to store the elements of the
sequence. Thus, the first i elements of C (at indices 0, . . . , i − 1) provide the
array-list representation of the heap.
2. In the first phase of the algorithm, we start with an empty heap and move the
boundary between the heap and the sequence from left to right, one step at a
time. In step i, for i = 1, . . . , n, we expand the heap by adding the element at
index i − 1.
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389
3. In the second phase of the algorithm, we start with an empty sequence and
move the boundary between the heap and the sequence from right to left, one
step at a time. At step i, for i = 1, . . . , n, we remove a maximum element
from the heap and store it at index n − i.
In general, we say that a sorting algorithm is in-place if it uses only a small
amount of memory in addition to the sequence storing the objects to be sorted. The
variation of heap-sort above qualifies as in-place; instead of transferring elements
out of the sequence and then back in, we simply rearrange them. We illustrate the
second phase of in-place heap-sort in Figure 9.9.
9
(a)
9
7
5
2
6
4
7
2
5
6
4
7
(b)
7
6
5
2
4
9
6
2
5
4
6
(c)
6
4
5
2
7
9
4
5
2
5
(d)
5
4
2
6
7
9
(e)
4
2
5
6
7
9
(f)
2
4
5
6
7
9
4
2
4
2
2
Figure 9.9: Phase 2 of an in-place heap-sort. The heap portion of each sequence
representation is highlighted. The binary tree that each sequence (implicitly) represents is diagrammed with the most recent path of down-heap bubbling highlighted.
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9.5
Adaptable Priority Queues
The methods of the priority queue ADT given in Section 9.1.2 are sufficient for
most basic applications of priority queues, such as sorting. However, there are
situations in which additional methods would be useful, as shown by the scenarios
below involving the standby airline passenger application.
• A standby passenger with a pessimistic attitude may become tired of waiting
and decide to leave ahead of the boarding time, requesting to be removed
from the waiting list. Thus, we would like to remove from the priority queue
the entry associated with this passenger. Operation remove min does not
suffice since the passenger leaving does not necessarily have first priority.
Instead, we want a new operation, remove, that removes an arbitrary entry.
• Another standby passenger finds her gold frequent-flyer card and shows it to
the agent. Thus, her priority has to be modified accordingly. To achieve this
change of priority, we would like to have a new operation update allowing
us to replace the key of an existing entry with a new key.
We will see another application of adaptable priority queues when implementing
certain graph algorithms in Sections 14.6.2 and 14.7.1.
In this section, we develop an adaptable priority queue ADT and demonstrate
how to implement this abstraction as an extension to our heap-based priority queue.
9.5.1 Locators
In order to implement methods update and remove efficiently, we need a mechanism for finding a user’s element within a priority queue that avoids performing a
linear search through the entire collection. To support our goal, when a new element is added to the priority queue, we return a special object known as a locator to
the caller. We then require the user to provide an appropriate locator as a parameter
when invoking the update or remove method, as follows, for a priority queue P:
P.update(loc, k, v): Replace key and value for the item identified by locator loc.
P.remove(loc): Remove the item identified by locator loc from the priority
queue and return its (key,value) pair.
The locator abstraction is somewhat akin to the Position abstraction used in our
positional list ADT from Section 7.4, and our tree ADT from Chapter 8. However,
we differentiate between a locator and a position because a locator for a priority
queue does not represent a tangible placement of an element within the structure.
In our priority queue, an element may be relocated within our data structure during
an operation that does not seem directly relevant to that element. A locator for an
item will remain valid, as long as that item remains somewhere in the queue.
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9.5. Adaptable Priority Queues
391
9.5.2 Implementing an Adaptable Priority Queue
In this section, we provide a Python implementation of an adaptable priority queue
as an extension of our HeapPriorityQueue class from Section 9.3.4. To implement a
Locator class, we will extend the existing Item composite to add an additional field
designating the current index of the element within the array-based representation
of our heap, as shown in Figure 9.10.
token
(4,C,0)
(5,A,1)
(6,Z,2)
(15,K,3)
(9,F,4)
(7,Q,5)
(20,B,6)
(16,X,7)
0
1
2
3
4
5
6
7
Figure 9.10: Representing a heap using a sequence of locators. The third element
of each locator instance corresponds to the index of the item within the array. Identifier token is presumed to be a locator reference in the user’s scope.
The list is a sequence of references to locator instances, each of which stores a
key, value, and the current index of the item within the list. The user will be given
a reference to the Locator instance for each inserted element, as portrayed by the
token identifier in Figure 9.10.
When we perform priority queue operations on our heap, and items are relocated within our structure, we reposition the locator instances within the list and we
update the third field of each locator to reflect its new index within the list. As an example, Figure 9.11 shows the state of the above heap after a call to remove min( ).
The heap operation caused the minimum entry, (4,C), to be removed, and the entry, (16,X), to be temporarily moved from the last position to the root, followed by
a down-heap bubble phase. During the down-heap, element (16,X) was swapped
token
(5,A,0)
(9,F,1)
(6,Z,2)
(15,K,3)
(16,X,4)
(7,Q,5)
(20,B,6)
0
1
2
3
4
5
6
7
Figure 9.11: The result of a call to remove min( ) on the heap originally portrayed
in Figure 9.10. Identifier token continues to reference the same locator instance
as in the original configuration, but the placement of that locator in the list has
changed, as has the third field of the locator.
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Chapter 9. Priority Queues
392
with its left child, (5,A), at index 1 of the list, then swapped with its right child,
(9,F), at index 4 of the list. In the final configuration, the locator instances for all
affected elements have been modified to reflect their new location.
It is important to emphasize that the locator instances have not changed identity. The user’s token reference, portrayed in Figures 9.10 and 9.11, continues to
reference the same instance; we have simply changed the third field of that instance,
and we have changed where that instance is referenced within the list sequence.
With this new representation, providing the additional support for the adaptable
priority queue ADT is rather straightforward. When a locator instance is sent as a
parameter to update or remove, we may rely on the third field of that structure to
designate where the element resides in the heap. With that knowledge, the update
of a key may simply require an up-heap or down-heap bubbling step to reestablish
the heap-order property. (The complete binary tree property remains intact.) To
implement the removal of an arbitrary element, we move the element at the last
position to the vacated location, and again perform an appropriate bubbling step to
satisfy the heap-order property.
Python Implementation
Code Fragments 9.8 and 9.9 present a Python implementation of an adaptable priority queue, as a subclass of the HeapPriorityQueue class from Section 9.3.4. Our
modifications to the original class are relatively minor. We define a public Locator
class that inherits from the nonpublic Item class and augments it with an additional index field. We make it a public class because we will be using locators
as return values and parameters; however, the public interface for the locator class
does not include any other functionality for the user.
To update locators during the flow of our heap operations, we rely on an intentional design decision that our original class uses a nonpublic swap method for all
data movement. We override that utility to execute the additional step of updating
the stored indices within the two swapped locator instances.
We provide a new bubble utility that manages the reinstatement of the heaporder property when a key has changed at an arbitrary position within the heap,
either due to a key update, or the blind replacement of a removed element with the
item from the last position of the tree. The bubble utility determines whether to
apply up-heap or down-heap bubbling, depending on whether the given location
has a parent with a smaller key. (If an updated key coincidentally remains valid for
its current location, we technically call downheap but no swaps result.)
The public methods are provided in Code Fragment 9.9. The existing add
method is overridden, both to make use of a Locator instance rather than an Item
instance for storage of the new element, and to return the locator to the caller. The
remainder of that method is similar to the original, with the management of locator
indices enacted by the use of the new version of swap. There is no reason to over-
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393
ride the remove min method because the only change in behavior for the adaptable
priority queue is again provided by the overridden swap method.
The update and remove methods provide the core new functionality for the
adaptable priority queue. We perform robust checking of the validity of a locator
that is sent by a caller (although in the interest of space, our displayed code does
not do preliminary type-checking to ensure that the parameter is indeed a Locator
instance). To ensure that a locator is associated with a current element of the given
priority queue, we examine the index that is encapsulated within the locator object,
and then verify that the entry of the list at that index is the very same locator.
In conclusion, the adaptable priority queue provides the same asymptotic efficiency and space usage as the nonadaptive version, and provides logarithmic performance for the new locator-based update and remove methods. A summary of
the performance is given in Table 9.4.
1 class AdaptableHeapPriorityQueue(HeapPriorityQueue):
2
”””A locator-based priority queue implemented with a binary heap.”””
3
4
#------------------------------ nested Locator class -----------------------------5
class Locator(HeapPriorityQueue. Item):
6
”””Token for locating an entry of the priority queue.”””
slots = _index
# add index as additional field
7
8
9
def init (self, k, v, j):
10
super( ). init (k,v)
11
self. index = j
12
13
#------------------------------ nonpublic behaviors -----------------------------14
# override swap to record new indices
15
def swap(self, i, j):
# perform the swap
16
super( ). swap(i,j)
# reset locator index (post-swap)
17
self. data[i]. index = i
# reset locator index (post-swap)
18
self. data[j]. index = j
19
20
def bubble(self, j):
21
if j > 0 and self. data[j] < self. data[self. parent(j)]:
22
self. upheap(j)
23
else:
24
self. downheap(j)
Code Fragment 9.8: An implementation of an adaptable priority queue (continued
in Code Fragment 9.9). This extends the HeapPriorityQueue class of Code Fragments 9.4 and 9.5
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25
26
27
28
29
30
31
32
33
34
35
36
37
38
39
40
41
42
43
44
45
46
47
48
49
50
51
52
def add(self, key, value):
”””Add a key-value pair.”””
token = self.Locator(key, value, len(self. data)) # initiaize locator index
self. data.append(token)
self. upheap(len(self. data) − 1)
return token
def update(self, loc, newkey, newval):
”””Update the key and value for the entry identified by Locator loc.”””
j = loc. index
if not (0 <= j < len(self) and self. data[j] is loc):
raise ValueError( Invalid locator )
loc. key = newkey
loc. value = newval
self. bubble(j)
def remove(self, loc):
”””Remove and return the (k,v) pair identified by Locator loc.”””
j = loc. index
if not (0 <= j < len(self) and self. data[j] is loc):
raise ValueError( Invalid locator )
if j == len(self) − 1:
# item at last position
# just remove it
self. data.pop( )
else:
# swap item to the last position
self. swap(j, len(self)−1)
# remove it from the list
self. data.pop( )
# fix item displaced by the swap
self. bubble(j)
return (loc. key, loc. value)
Code Fragment 9.9: An implementation of an adaptable priority queue (continued
from Code Fragment 9.8).
Operation Running Time
len(P), P.is empty( ), P.min( ) O(1)
P.add(k,v) O(log n)∗
P.update(loc, k, v) O(log n)
P.remove(loc) O(log n)∗
P.remove min( ) O(log n)∗
∗ amortized with dynamic array
Table 9.4: Running times of the methods of an adaptable priority queue, P, of size n,
realized by means of our array-based heap representation. The space requirement
is O(n).
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9.6. Exercises
9.6
395
Exercises
For help with exercises, please visit the site, www.wiley.com/college/goodrich.
Reinforcement
R-9.1 How long would it take to remove the log n smallest elements from a
heap that contains n entries, using the remove min operation?
R-9.2 Suppose you label each position p of a binary tree T with a key equal to
its preorder rank. Under what circumstances is T a heap?
R-9.3 What does each remove min call return within the following sequence of
priority queue ADT methods: add(5,A), add(4,B), add(7,F), add(1,D),
remove min( ), add(3,J), add(6,L), remove min( ), remove min( ),
add(8,G), remove min( ), add(2,H), remove min( ), remove min( )?
R-9.4 An airport is developing a computer simulation of air-traffic control that
handles events such as landings and takeoffs. Each event has a time stamp
that denotes the time when the event will occur. The simulation program
needs to efficiently perform the following two fundamental operations:
• Insert an event with a given time stamp (that is, add a future event).
• Extract the event with smallest time stamp (that is, determine the
next event to process).
Which data structure should be used for the above operations? Why?
R-9.5 The min method for the UnsortedPriorityQueue class executes in O(n)
time, as analyzed in Table 9.2. Give a simple modification to the class so
that min runs in O(1) time. Explain any necessary modifications to other
methods of the class.
R-9.6 Can you adapt your solution to the previous problem to make remove min
run in O(1) time for the UnsortedPriorityQueue class? Explain your answer.
R-9.7 Illustrate the execution of the selection-sort algorithm on the following
input sequence: (22, 15, 36, 44, 10, 3, 9, 13, 29, 25).
R-9.8 Illustrate the execution of the insertion-sort algorithm on the input sequence of the previous problem.
R-9.9 Give an example of a worst-case sequence with n elements for insertionsort, and show that insertion-sort runs in Ω(n2 ) time on such a sequence.
R-9.10 At which positions of a heap might the third smallest key be stored?
R-9.11 At which positions of a heap might the largest key be stored?
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R-9.12 Consider a situation in which a user has numeric keys and wishes to have
a priority queue that is maximum-oriented. How could a standard (minoriented) priority queue be used for such a purpose?
R-9.13 Illustrate the execution of the in-place heap-sort algorithm on the following input sequence: (2, 5, 16, 4, 10, 23, 39, 18, 26, 15).
R-9.14 Let T be a complete binary tree such that position p stores an element
with key f (p), where f (p) is the level number of p (see Section 8.3.2). Is
tree T a heap? Why or why not?
R-9.15 Explain why the description of down-heap bubbling does not consider the
case in which position p has a right child but not a left child.
R-9.16 Is there a heap H storing seven entries with distinct keys such that a preorder traversal of H yields the entries of H in increasing or decreasing
order by key? How about an inorder traversal? How about a postorder
traversal? If so, give an example; if not, say why.
R-9.17 Let H be a heap storing 15 entries using the array-based representation of
a complete binary tree. What is the sequence of indices of the array that
are visited in a preorder traversal of H? What about an inorder traversal
of H? What about a postorder traversal of H?
R-9.18 Show that the sum
n
∑ log i,
i=1
which appears in the analysis of heap-sort, is Ω(n log n).
R-9.19 Bill claims that a preorder traversal of a heap will list its keys in nondecreasing order. Draw an example of a heap that proves him wrong.
R-9.20 Hillary claims that a postorder traversal of a heap will list its keys in nonincreasing order. Draw an example of a heap that proves her wrong.
R-9.21 Show all the steps of the algorithm for removing the entry (16, X ) from the
heap of Figure 9.1, assuming the entry had been identified with a locator.
R-9.22 Show all the steps of the algorithm for replacing key of entry (5, A) with
18 in the heap of Figure 9.1, assuming the entry had been identified with
a locator.
R-9.23 Draw an example of a heap whose keys are all the odd numbers from 1 to
59 (with no repeats), such that the insertion of an entry with key 32 would
cause up-heap bubbling to proceed all the way up to a child of the root
(replacing that child’s key with 32).
R-9.24 Describe a sequence of n insertions in a heap that requires Ω(n log n) time
to process.
R-9.25 Complete Figure 9.9 by showing all the steps of the in-place heap-sort
algorithm. Show both the array and the associated heap at the end of each
step.
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9.6. Exercises
397
Creativity
C-9.26 Show how to implement the stack ADT using only a priority queue and
one additional integer instance variable.
C-9.27 Show how to implement the FIFO queue ADT using only a priority queue
and one additional integer instance variable.
C-9.28 Professor Idle suggests the following solution to the previous problem.
Whenever an item is inserted into the queue, it is assigned a key that is
equal to the current size of the queue. Does such a strategy result in FIFO
semantics? Prove that it is so or provide a counterexample.
C-9.29 Reimplement the SortedPriorityQueue using a Python list. Make sure to
maintain remove min’s O(1) performance.
C-9.30 Give a nonrecursive implementation of the upheap method for the class
HeapPriorityQueue.
C-9.31 Give a nonrecursive implementation of the downheap method for the
class HeapPriorityQueue.
C-9.32 Assume that we are using a linked representation of a complete binary
tree T , and an extra reference to the last node of that tree. Show how to
update the reference to the last node after operations add or remove min
in O(log n) time, where n is the current number of nodes of T . Be sure
and handle all possible cases, as illustrated in Figure 9.12.
C-9.33 When using a linked-tree representation for a heap, an alternative method
for finding the last node during an insertion in a heap T is to store, in the
last node and each leaf node of T , a reference to the leaf node immediately to its right (wrapping to the first node in the next lower level for the
rightmost leaf node). Show how to maintain such references in O(1) time
per operation of the priority queue ADT assuming that T is implemented
with a linked structure.
(4,C)
(2,B)
(5,A)
(15,K)
(5,A)
(4,C)
(9,F)
(7,Q)
(15,K)
(6,Z)
(9,F)
w
(16,X)
(25,J)
(14,E)
(12,H)
(11,S)
(8,W)
(20,B)
(10,L)
(6,Z)
(7,Q)
w
(16,X)
(25,J)
(14,E)
(20,B)
z
(12,H)
z
(a)
(b)
Figure 9.12: Updating the last node in a complete binary tree after operation add or
remove. Node w is the last node before operation add or after operation remove.
Node z is the last node after operation add or before operation remove.
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Chapter 9. Priority Queues
398
C-9.34 We can represent a path from the root to a given node of a binary tree
by means of a binary string, where 0 means “go to the left child” and 1
means “go to the right child.” For example, the path from the root to the
node storing (8,W ) in the heap of Figure 9.12a is represented by “101.”
Design an O(log n)-time algorithm for finding the last node of a complete
binary tree with n nodes, based on the above representation. Show how
this algorithm can be used in the implementation of a complete binary tree
by means of a linked structure that does not keep a reference to the last
node.
C-9.35 Given a heap T and a key k, give an algorithm to compute all the entries
in T having a key less than or equal to k. For example, given the heap of
Figure 9.12a and query k = 7, the algorithm should report the entries with
keys 2, 4, 5, 6, and 7 (but not necessarily in this order). Your algorithm
should run in time proportional to the number of entries returned, and
should not modify the heap
C-9.36 Provide a justification of the time bounds in Table 9.4.
C-9.37 Give an alternative analysis of bottom-up heap construction by showing
the following summation is O(1), for any positive integer h:
h
∑
i/2i .
i=1
C-9.38 Suppose two binary trees, T1 and T2 , hold entries satisfying the heap-order
property (but not necessarily the complete binary tree property). Describe
a method for combining T1 and T2 into a binary tree T , whose nodes hold
the union of the entries in T1 and T2 and also satisfy the heap-order property. Your algorithm should run in time O(h1 + h2 ) where h1 and h2 are
the respective heights of T1 and T2 .
C-9.39 Implement a heappushpop method for the HeapPriorityQueue class, with
semantics akin to that described for the heapq module in Section 9.3.7.
C-9.40 Implement a heapreplace method for the HeapPriorityQueue class, with
semantics akin to that described for the heapq module in Section 9.3.7.
C-9.41 Tamarindo Airlines wants to give a first-class upgrade coupon to their top
log n frequent flyers, based on the number of miles accumulated, where
n is the total number of the airlines’ frequent flyers. The algorithm they
currently use, which runs in O(n log n) time, sorts the flyers by the number
of miles flown and then scans the sorted list to pick the top log n flyers.
Describe an algorithm that identifies the top logn flyers in O(n) time.
C-9.42 Explain how the k largest elements from an unordered collection of size n
can be found in time O(n + k log n) using a maximum-oriented heap.
C-9.43 Explain how the k largest elements from an unordered collection of size n
can be found in time O(n log k) using O(k) auxiliary space.
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399
C-9.44 Given a class, PriorityQueue, that implements the minimum-oriented priority queue ADT, provide an implementation of a MaxPriorityQueue class
that adapts to provide a maximum-oriented abstraction with methods add,
max, and remove max. Your implementation should not make any assumption about the internal workings of the original PriorityQueue class,
nor the type of keys that might be used.
C-9.45 Write a key function for nonnegative integers that determines order based
on the number of 1’s in each integer’s binary expansion.
C-9.46 Give an alternative implementation of the pq sort function, from Code
Fragment 9.7, that accepts a key function as an optional parameter.
C-9.47 Describe an in-place version of the selection-sort algorithm for an array
that uses only O(1) space for instance variables in addition to the array.
C-9.48 Assuming the input to the sorting problem is given in an array A, describe
how to implement the insertion-sort algorithm using only the array A and
at most a constant number of additional variables.
C-9.49 Give an alternate description of the in-place heap-sort algorithm using
the standard minimum-oriented priority queue (instead of a maximumoriented one).
C-9.50 An online computer system for trading stocks needs to process orders of
the form “buy 100 shares at $x each” or “sell 100 shares at $y each.” A
buy order for $x can only be processed if there is an existing sell order
with price $y such that y ≤ x. Likewise, a sell order for $y can only be
processed if there is an existing buy order with price $x such that y ≤ x.
If a buy or sell order is entered but cannot be processed, it must wait for a
future order that allows it to be processed. Describe a scheme that allows
buy and sell orders to be entered in O(log n) time, independent of whether
or not they can be immediately processed.
C-9.51 Extend a solution to the previous problem so that users are allowed to
update the prices for their buy or sell orders that have yet to be processed.
C-9.52 A group of children want to play a game, called Unmonopoly, where in
each turn the player with the most money must give half of his/her money
to the player with the least amount of money. What data structure(s)
should be used to play this game efficiently? Why?
Projects
P-9.53 Implement the in-place heap-sort algorithm. Experimentally compare its
running time with that of the standard heap-sort that is not in-place.
P-9.54 Use the approach of either Exercise C-9.42 or C-9.43 to reimplement the
top method of the FavoritesListMTF class from Section 7.6.2. Make sure
that results are generated from largest to smallest.
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Chapter 9. Priority Queues
400
P-9.55 Write a program that can process a sequence of stock buy and sell orders
as described in Exercise C-9.50.
P-9.56 Let S be a set of n points in the plane with distinct integer x- and ycoordinates. Let T be a complete binary tree storing the points from S
at its external nodes, such that the points are ordered left to right by increasing x-coordinates. For each node v in T , let S(v) denote the subset of
S consisting of points stored in the subtree rooted at v. For the root r of
T , define top(r) to be the point in S = S(r) with maximum y-coordinate.
For every other node v, define top(r) to be the point in S with highest ycoordinate in S(v) that is not also the highest y-coordinate in S(u), where
u is the parent of v in T (if such a point exists). Such labeling turns T into
a priority search tree. Describe a linear-time algorithm for turning T into
a priority search tree. Implement this approach.
P-9.57 One of the main applications of priority queues is in operating systems—
for scheduling jobs on a CPU. In this project you are to build a program
that schedules simulated CPU jobs. Your program should run in a loop,
each iteration of which corresponds to a time slice for the CPU. Each job
is assigned a priority, which is an integer between −20 (highest priority)
and 19 (lowest priority), inclusive. From among all jobs waiting to be processed in a time slice, the CPU must work on a job with highest priority.
In this simulation, each job will also come with a length value, which is an
integer between 1 and 100, inclusive, indicating the number of time slices
that are needed to process this job. For simplicity, you may assume jobs
cannot be interrupted—once it is scheduled on the CPU, a job runs for a
number of time slices equal to its length. Your simulator must output the
name of the job running on the CPU in each time slice and must process
a sequence of commands, one per time slice, each of which is of the form
“add job name with length n and priority p” or “no new job this slice”.
P-9.58 Develop a Python implementation of an adaptable priority queue that is
based on an unsorted list and supports location-aware entries.
Chapter Notes
Knuth’s book on sorting and searching [65] describes the motivation and history for the
selection-sort, insertion-sort, and heap-sort algorithms. The heap-sort algorithm is due
to Williams [103], and the linear-time heap construction algorithm is due to Floyd [39].
Additional algorithms and analyses for heaps and heap-sort variations can be found in
papers by Bentley [15], Carlsson [24], Gonnet and Munro [45], McDiarmid and Reed [74],
and Schaffer and Sedgewick [88].
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Chapter
10
Maps, Hash Tables, and Skip Lists
Contents
10.1 Maps and Dictionaries . . . . . . . . . . . . . . . .
10.1.1 The Map ADT . . . . . . . . . . . . . . . . .
10.1.2 Application: Counting Word Frequencies . . . .
10.1.3 Python’s MutableMapping Abstract Base Class
10.1.4 Our MapBase Class . . . . . . . . . . . . . . .
10.1.5 Simple Unsorted Map Implementation . . . . .
10.2 Hash Tables . . . . . . . . . . . . . . . . . . . . .
10.2.1 Hash Functions . . . . . . . . . . . . . . . . .
10.2.2 Collision-Handling Schemes . . . . . . . . . . .
10.2.3 Load Factors, Rehashing, and Efficiency . . . .
10.2.4 Python Hash Table Implementation . . . . . .
10.3 Sorted Maps . . . . . . . . . . . . . . . . . . . . .
10.3.1 Sorted Search Tables . . . . . . . . . . . . . .
10.3.2 Two Applications of Sorted Maps . . . . . . .
10.4 Skip Lists . . . . . . . . . . . . . . . . . . . . . . .
10.4.1 Search and Update Operations in a Skip List .
10.4.2 Probabilistic Analysis of Skip Lists . . . . . .
10.5 Sets, Multisets, and Multimaps . . . . . . . . . .
10.5.1 The Set ADT . . . . . . . . . . . . . . . . . .
10.5.2 Python’s MutableSet Abstract Base Class . . .
10.5.3 Implementing Sets, Multisets, and Multimaps .
10.6 Exercises . . . . . . . . . . . . . . . . . . . . . . .
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Chapter 10. Maps, Hash Tables, and Skip Lists
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10.1
Maps and Dictionaries
Python’s dict class is arguably the most significant data structure in the language. It
represents an abstraction known as a dictionary in which unique keys are mapped
to associated values. Because of the relationship they express between keys and
values, dictionaries are commonly known as associative arrays or maps. In this
book, we use the term dictionary when specifically discussing Python’s dict class,
and the term map when discussing the more general notion of the abstract data type.
As a simple example, Figure 10.1 illustrates a map from the names of countries
to their associated units of currency.
Turkey
Lira
Spain
Greece
Euro
China
United States
India
Yuan
Dollar
Rupee
Figure 10.1: A map from countries (the keys) to their units of currency (the values).
We note that the keys (the country names) are assumed to be unique, but the values
(the currency units) are not necessarily unique. For example, we note that Spain
and Greece both use the euro for currency. Maps use an array-like syntax for indexing, such as currency[ Greece ] to access a value associated with a given key
or currency[ Greece ] = Drachma to remap it to a new value. Unlike a standard array, indices for a map need not be consecutive nor even numeric. Common
applications of maps include the following.
• A university’s information system relies on some form of a student ID as a
key that is mapped to that student’s associated record (such as the student’s
name, address, and course grades) serving as the value.
• The domain-name system (DNS) maps a host name, such as www.wiley.com,
to an Internet-Protocol (IP) address, such as 208.215.179.146.
• A social media site typically relies on a (nonnumeric) username as a key that
can be efficiently mapped to a particular user’s associated information.
• A computer graphics system may map a color name, such as turquoise ,
to the triple of numbers that describes the color’s RGB (red-green-blue) representation, such as (64,224,208).
• Python uses a dictionary to represent each namespace, mapping an identifying
string, such as pi , to an associated object, such as 3.14159.
In this chapter and the next we demonstrate that a map may be implemented so
that a search for a key, and its associated value, can be performed very efficiently,
thereby supporting fast lookup in such applications.
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10.1. Maps and Dictionaries
403
10.1.1 The Map ADT
In this section, we introduce the map ADT, and define its behaviors to be consistent
with those of Python’s built-in dict class. We begin by listing what we consider the
most significant five behaviors of a map M as follows:
M[k]: Return the value v associated with key k in map M, if
one exists; otherwise raise a KeyError. In Python, this is
implemented with the special method getitem .
M[k] = v: Associate value v with key k in map M, replacing the existing value if the map already contains an item with key
equal to k. In Python, this is implemented with the special
method setitem .
del M[k]: Remove from map M the item with key equal to k; if M
has no such item, then raise a KeyError. In Python, this is
implemented with the special method delitem .
len(M): Return the number of items in map M. In Python, this is
implemented with the special method len .
iter(M): The default iteration for a map generates a sequence of
keys in the map. In Python, this is implemented with the
special method iter , and it allows loops of the form,
for k in M.
We have highlighted the above five behaviors because they demonstrate the core
functionality of a map—namely, the ability to query, add, modify, or delete a keyvalue pair, and the ability to report all such pairs. For additional convenience,
map M should also support the following behaviors:
k in M: Return True if the map contains an item with key k. In
Python, this is implemented with the special contains
method.
M.get(k, d=None): Return M[k] if key k exists in the map; otherwise return
default value d. This provides a form to query M[k] without risk of a KeyError.
M.setdefault(k, d): If key k exists in the map, simply return M[k]; if key k
does not exist, set M[k] = d and return that value.
M.pop(k, d=None): Remove the item associated with key k from the map and
return its associated value v. If key k is not in the map,
return default value d (or raise KeyError if parameter d is
None).
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Chapter 10. Maps, Hash Tables, and Skip Lists
404
M.popitem( ): Remove an arbitrary key-value pair from the map, and return a (k,v) tuple representing the removed pair. If map is
empty, raise a KeyError.
M.clear( ): Remove all key-value pairs from the map.
M.keys( ): Return a set-like view of all keys of M.
M.values( ): Return a set-like view of all values of M.
M.items( ): Return a set-like view of (k,v) tuples for all entries of M.
M.update(M2): Assign M[k] = v for every (k,v) pair in map M2.
M == M2: Return True if maps M and M2 have identical key-value
associations.
M != M2: Return True if maps M and M2 do not have identical keyvalue associations.
Example 10.1: In the following, we show the effect of a series of operations on
an initially empty map storing items with integer keys and single-character values.
We use the literal syntax for Python’s dict class to describe the map contents.
Operation
len(M)
M[ K ] = 2
M[ B ] = 4
M[ U ] = 2
M[ V ] = 8
M[ K ] = 9
M[ B ]
M[ X ]
M.get( F )
M.get( F , 5)
M.get( K , 5)
len(M)
del M[ V ]
M.pop( K )
M.keys( )
M.values( )
M.items( )
M.setdefault( B , 1)
M.setdefault( A , 1)
M.popitem( )
Return Value
0
–
–
–
–
–
4
KeyError
None
5
9
4
–
9
B , U
4, 2
( B , 4), ( U , 2)
4
1
( B , 4)
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{
{
{
{
{
{
{
{
{
K :
2,
9,
9,
9,
9,
9,
9,
9,
K :
{
{
{
{
{
{ A :
{
{
K :
K :
K :
K :
K :
K :
K :
K :
{
Map
{}
{ K : 2}
K : 2, B :
2, B : 4,
B : 4, U :
B : 4, U :
B : 4, U :
B : 4, U :
B : 4, U :
B : 4, U :
B : 4, U :
B : 4, U :
9, B : 4,
B : 4, U :
B : 4, U :
B : 4, U :
B : 4, U :
B : 4, U :
1, B : 4,
A : 1, U :
4}
U :
2,
2,
2,
2,
2,
2,
2,
2,
U :
2}
2}
2}
2}
2}
U :
2}
2}
V :
V :
V :
V :
V :
V :
V :
V :
2}
2}
8}
8}
8}
8}
8}
8}
8}
8}
10.1. Maps and Dictionaries
405
10.1.2 Application: Counting Word Frequencies
As a case study for using a map, consider the problem of counting the number
of occurrences of words in a document. This is a standard task when performing a
statistical analysis of a document, for example, when categorizing an email or news
article. A map is an ideal data structure to use here, for we can use words as keys
and word counts as values. We show such an application in Code Fragment 10.1.
We break apart the original document using a combination of file and string
methods that results in a loop over a lowercased version of all whitespace separated
pieces of the document. We omit all nonalphabetic characters so that parentheses,
apostrophes, and other such punctuation are not considered part of a word.
In terms of map operations, we begin with an empty Python dictionary named
freq. During the first phase of the algorithm, we execute the command
freq[word] = 1 + freq.get(word, 0)
for each word occurrence. We use the get method on the right-hand side because the
current word might not exist in the dictionary; the default value of 0 is appropriate
in that case.
During the second phase of the algorithm, after the full document has been processed, we examine the contents of the frequency map, looping over freq.items( )
to determine which word has the most occurrences.
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
freq = { }
for piece in open(filename).read( ).lower( ).split( ):
# only consider alphabetic characters within this piece
word = .join(c for c in piece if c.isalpha( ))
if word: # require at least one alphabetic character
freq[word] = 1 + freq.get(word, 0)
max word =
max count = 0
for (w,c) in freq.items( ):
# (key, value) tuples represent (word, count)
if c > max count:
max word = w
max count = c
print( The most frequent word is , max word)
print( Its number of occurrences is , max count)
Code Fragment 10.1: A program for counting word frequencies in a document, and
reporting the most frequent word. We use Python’s dict class for the map. We
convert the input to lowercase and ignore any nonalphabetic characters.
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Chapter 10. Maps, Hash Tables, and Skip Lists
406
10.1.3 Python’s MutableMapping Abstract Base Class
Section 2.4.3 provides an introduction to the concept of an abstract base class
and the role of such classes in Python’s collections module. Methods that are declared to be abstract in such a base class must be implemented by concrete subclasses. However, an abstract base class may provide concrete implementation of
other methods that depend upon use of the presumed abstract methods. (This is an
example of the template method design pattern.)
The collections module provides two abstract base classes that are relevant to
our current discussion: the Mapping and MutableMapping classes. The Mapping
class includes all nonmutating methods supported by Python’s dict class, while the
MutableMapping class extends that to include the mutating methods. What we
define as the map ADT in Section 10.1.1 is akin to the MutableMapping abstract
base class in Python’s collections module.
The significance of these abstract base classes is that they provide a framework
to assist in creating a user-defined map class. In particular, the MutableMapping
class provides concrete implementations for all behaviors other than the first five
outlined in Section 10.1.1: getitem , setitem , delitem , len , and
iter . As we implement the map abstraction with various data structures, as
long as we provide the five core behaviors, we can inherit all other derived behaviors by simply declaring MutableMapping as a parent class.
To better understand the MutableMapping class, we provide a few examples of
how concrete behaviors can be derived from the five core abstractions. For example,
the contains method, supporting the syntax k in M, could be implemented by
making a guarded attempt to retrieve self[k] to determine if the key exists.
def contains (self, k):
try:
self[k]
return True
except KeyError:
return False
# access via
getitem
(ignore result)
# attempt failed
A similar approach might be used to provide the logic of the setdefault method.
def setdefault(self, k, d):
try:
return self[k]
except KeyError:
self[k] = d
return d
#
#
#
#
if getitem succeeds, return value
otherwise:
set default value with setitem
and return that newly assigned value
We leave as exercises the implementations of the remaining concrete methods of
the MutableMapping class.
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10.1. Maps and Dictionaries
407
10.1.4 Our MapBase Class
We will be providing many different implementations of the map ADT, in the remainder of this chapter and next, using a variety of data structures demonstrating a
trade-off of advantages and disadvantages. Figure 10.2 provides a preview of those
classes.
The MutableMapping abstract base class, from Python’s collections module
and discussed in the preceding pages, is a valuable tool when implementing a map.
However, in the interest of greater code reuse, we define our own MapBase class,
which is itself a subclass of the MutableMapping class. Our MapBase class provides additional support for the composition design pattern. This is a technique
we introduced when implementing a priority queue (see Section 9.2.1) in order to
group a key-value pair as a single instance for internal use.
More formally, our MapBase class is defined in Code Fragment 10.2, extending the existing MutableMapping abstract base class so that we inherit the many
useful concrete methods that class provides. We then define a nonpublic nested
Item class, whose instances are able to store both a key and value. This nested
class is reasonably similar in design to the Item class that was defined within our
PriorityQueueBase class in Section 9.2.1, except that for a map we provide support for both equality tests and comparisons, both of which rely on the item’s key.
The notion of equality is necessary for all of our map implementations, as a way to
determine whether a key given as a parameter is equivalent to one that is already
stored in the map. The notion of comparisons between keys, using the < operator,
will become relevant when we later introduce a sorted map ADT (Section 10.3).
MutableMapping
(collections module)
MapBase
(Section 10.1.4)
UnsortedTableMap
(Section 10.1.5)
HashMapBase
(Section 10.2.4)
SortedTableMap
(Section 10.3.1)
TreeMap
(Chapter 11)
(additional subclasses)
ChainHashMap
(Section 10.2.4)
ProbeHashMap
(Section 10.2.4)
Figure 10.2: Our hierarchy of map types (with references to where they are defined).
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Chapter 10. Maps, Hash Tables, and Skip Lists
1 class MapBase(MutableMapping):
2
”””Our own abstract base class that includes a nonpublic Item class.”””
3
4
#------------------------------- nested Item class ------------------------------5
class Item:
6
”””Lightweight composite to store key-value pairs as map items.”””
slots = _key , _value
7
8
9
def init (self, k, v):
10
self. key = k
11
self. value = v
12
13
def eq (self, other):
# compare items based on their keys
14
return self. key == other. key
15
16
def ne (self, other):
17
return not (self == other)
# opposite of eq
18
19
def lt (self, other):
# compare items based on their keys
20
return self. key < other. key
Code Fragment 10.2: Extending the MutableMapping abstract base class to provide
a nonpublic Item class for use in our various map implementations.
10.1.5 Simple Unsorted Map Implementation
We demonstrate the use of the MapBase class with a very simple concrete implementation of the map ADT. Code Fragment 10.3 presents an UnsortedTableMap
class that relies on storing key-value pairs in arbitrary order within a Python list.
An empty table is initialized as self. table within the constructor for our map.
When a new key is entered into the map, via line 22 of the setitem method,
we create a new instance of the nested Item class, which is inherited from our
MapBase class.
This list-based map implementation is simple, but it is not particularly efficient.
Each of the fundamental methods, getitem , setitem , and delitem ,
relies on a for loop to scan the underlying list of items in search of a matching key.
In a best-case scenario, such a match may be found near the beginning of the list, in
which case the loop terminates; in the worst case, the entire list will be examined.
Therefore, each of these methods runs in O(n) time on a map with n items.
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1 class UnsortedTableMap(MapBase):
2
”””Map implementation using an unordered list.”””
3
4
def init (self):
5
”””Create an empty map.”””
# list of Item’s
6
self. table = [ ]
7
8
def getitem (self, k):
9
”””Return value associated with key k (raise KeyError if not found).”””
10
for item in self. table:
11
if k == item. key:
12
return item. value
13
raise KeyError( Key Error: + repr(k))
14
15
def setitem (self, k, v):
16
”””Assign value v to key k, overwriting existing value if present.”””
17
for item in self. table:
# Found a match:
18
if k == item. key:
# reassign value
19
item. value = v
20
return
# and quit
21
# did not find match for key
22
self. table.append(self. Item(k,v))
23
24
def delitem (self, k):
25
”””Remove item associated with key k (raise KeyError if not found).”””
26
for j in range(len(self. table)):
# Found a match:
27
if k == self. table[j]. key:
# remove item
28
self. table.pop(j)
29
return
# and quit
30
raise KeyError( Key Error: + repr(k))
31
32
def len (self):
33
”””Return number of items in the map.”””
34
return len(self. table)
35
36
def iter (self):
37
”””Generate iteration of the map s keys.”””
38
for item in self. table:
# yield the KEY
39
yield item. key
Code Fragment 10.3: An implementation of a map using a Python list as an unsorted
table. Parent class MapBase is given in Code Fragment 10.2.
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10.2
Hash Tables
In this section, we introduce one of the most practical data structures for implementing a map, and the one that is used by Python’s own implementation of the
dict class. This structure is known as a hash table.
Intuitively, a map M supports the abstraction of using keys as indices with a
syntax such as M[k]. As a mental warm-up, consider a restricted setting in which
a map with n items uses keys that are known to be integers in a range from 0 to
N − 1 for some N ≥ n. In this case, we can represent the map using a lookup table
of length N, as diagrammed in Figure 10.3.
0
1
2
D
3
4
5
Z
6
7
C
Q
8
9
10
Figure 10.3: A lookup table with length 11 for a map containing items (1,D), (3,Z),
(6,C), and (7,Q).
In this representation, we store the value associated with key k at index k of the
table (presuming that we have a distinct way to represent an empty slot). Basic map
operations of getitem , setitem , and delitem can be implemented in
O(1) worst-case time.
There are two challenges in extending this framework to the more general setting of a map. First, we may not wish to devote an array of length N if it is the case
that N n. Second, we do not in general require that a map’s keys be integers.
The novel concept for a hash table is the use of a hash function to map general
keys to corresponding indices in a table. Ideally, keys will be well distributed in the
range from 0 to N − 1 by a hash function, but in practice there may be two or more
distinct keys that get mapped to the same index. As a result, we will conceptualize
our table as a bucket array, as shown in Figure 10.4, in which each bucket may
manage a collection of items that are sent to a specific index by the hash function.
(To save space, an empty bucket may be replaced by None.)
0
1
(1,D)
2
3
4
5
(25,C)
(3,F)
(14,Z)
6
7
(6,A)
(39,C)
(7,Q)
8
9
10
Figure 10.4: A bucket array of capacity 11 with items (1,D), (25,C), (3,F), (14,Z),
(6,A), (39,C), and (7,Q), using a simple hash function.
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10.2.1 Hash Functions
The goal of a hash function, h, is to map each key k to an integer in the range
[0, N − 1], where N is the capacity of the bucket array for a hash table. Equipped
with such a hash function, h, the main idea of this approach is to use the hash
function value, h(k), as an index into our bucket array, A, instead of the key k
(which may not be appropriate for direct use as an index). That is, we store the
item (k, v) in the bucket A[h(k)].
If there are two or more keys with the same hash value, then two different items
will be mapped to the same bucket in A. In this case, we say that a collision has
occurred. To be sure, there are ways of dealing with collisions, which we will
discuss later, but the best strategy is to try to avoid them in the first place. We say
that a hash function is “good” if it maps the keys in our map so as to sufficiently
minimize collisions. For practical reasons, we also would like a hash function to
be fast and easy to compute.
It is common to view the evaluation of a hash function, h(k), as consisting of
two portions—a hash code that maps a key k to an integer, and a compression
function that maps the hash code to an integer within a range of indices, [0, N − 1],
for a bucket array. (See Figure 10.5.)
Arbitrary Objects
hash code
. . . -2 -1 0 1 2 . . .
compression function
0 1 2 ...
N-1
Figure 10.5: Two parts of a hash function: a hash code and a compression function.
The advantage of separating the hash function into two such components is that
the hash code portion of that computation is independent of a specific hash table
size. This allows the development of a general hash code for each object that can
be used for a hash table of any size; only the compression function depends upon
the table size. This is particularly convenient, because the underlying bucket array
for a hash table may be dynamically resized, depending on the number of items
currently stored in the map. (See Section 10.2.3.)
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Hash Codes
The first action that a hash function performs is to take an arbitrary key k in our
map and compute an integer that is called the hash code for k; this integer need not
be in the range [0, N − 1], and may even be negative. We desire that the set of hash
codes assigned to our keys should avoid collisions as much as possible. For if the
hash codes of our keys cause collisions, then there is no hope for our compression
function to avoid them. In this subsection, we begin by discussing the theory of
hash codes. Following that, we discuss practical implementations of hash codes in
Python.
Treating the Bit Representation as an Integer
To begin, we note that, for any data type X that is represented using at most as many
bits as our integer hash codes, we can simply take as a hash code for X an integer
interpretation of its bits. For example, the hash code for key 314 could simply be
314. The hash code for a floating-point number such as 3.14 could be based upon
an interpretation of the bits of the floating-point representation as an integer.
For a type whose bit representation is longer than a desired hash code, the above
scheme is not immediately applicable. For example, Python relies on 32-bit hash
codes. If a floating-point number uses a 64-bit representation, its bits cannot be
viewed directly as a hash code. One possibility is to use only the high-order 32 bits
(or the low-order 32 bits). This hash code, of course, ignores half of the information
present in the original key, and if many of the keys in our map only differ in these
bits, then they will collide using this simple hash code.
A better approach is to combine in some way the high-order and low-order portions of a 64-bit key to form a 32-bit hash code, which takes all the original bits
into consideration. A simple implementation is to add the two components as 32bit numbers (ignoring overflow), or to take the exclusive-or of the two components.
These approaches of combining components can be extended to any object x whose
binary representation can be viewed as an n-tuple (x0 , x1 , . . . , xn−1 ) of 32-bit integers, for example, by forming a hash code for x as ∑n−1
i=0 xi , or as x0 ⊕ x1 ⊕ · · ·⊕xn−1 ,
where the ⊕ symbol represents the bitwise exclusive-or operation (which is ˆ in
Python).
Polynomial Hash Codes
The summation and exclusive-or hash codes, described above, are not good choices
for character strings or other variable-length objects that can be viewed as tuples of
the form (x0 , x1 , . . . , xn−1 ), where the order of the xi ’s is significant. For example,
consider a 16-bit hash code for a character string s that sums the Unicode values
of the characters in s. This hash code unfortunately produces lots of unwanted
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collisions for common groups of strings. In particular, "temp01" and "temp10"
collide using this function, as do "stop", "tops", "pots", and "spot". A better
hash code should somehow take into consideration the positions of the xi ’s. An
alternative hash code, which does exactly this, is to choose a nonzero constant,
a = 1, and use as a hash code the value
x0 an−1 + x1 an−2 + · · · + xn−2 a + xn−1 .
Mathematically speaking, this is simply a polynomial in a that takes the components (x0 , x1 , . . . , xn−1 ) of an object x as its coefficients. This hash code is therefore
called a polynomial hash code. By Horner’s rule (see Exercise C-3.50), this polynomial can be computed as
xn−1 + a(xn−2 + a(xn−3 + · · · + a(x2 + a(x1 + ax0 )) · · · )).
Intuitively, a polynomial hash code uses multiplication by different powers as a
way to spread out the influence of each component across the resulting hash code.
Of course, on a typical computer, evaluating a polynomial will be done using
the finite bit representation for a hash code; hence, the value will periodically overflow the bits used for an integer. Since we are more interested in a good spread of
the object x with respect to other keys, we simply ignore such overflows. Still, we
should be mindful that such overflows are occurring and choose the constant a so
that it has some nonzero, low-order bits, which will serve to preserve some of the
information content even as we are in an overflow situation.
We have done some experimental studies that suggest that 33, 37, 39, and 41
are particularly good choices for a when working with character strings that are
English words. In fact, in a list of over 50,000 English words formed as the union
of the word lists provided in two variants of Unix, we found that taking a to be 33,
37, 39, or 41 produced less than 7 collisions in each case!
Cyclic-Shift Hash Codes
A variant of the polynomial hash code replaces multiplication by a with a cyclic
shift of a partial sum by a certain number of bits. For example, a 5-bit cyclic shift
of the 32-bit value 00111101100101101010100010101000 is achieved by taking
the leftmost five bits and placing those on the rightmost side of the representation,
resulting in 10110010110101010001010100000111. While this operation has little
natural meaning in terms of arithmetic, it accomplishes the goal of varying the bits
of the calculation. In Python, a cyclic shift of bits can be accomplished through
careful use of the bitwise operators << and >>, taking care to truncate results to
32-bit integers.
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Chapter 10. Maps, Hash Tables, and Skip Lists
An implementation of a cyclic-shift hash code computation for a character
string in Python appears as follows:
def hash code(s):
mask = (1 << 32) − 1
h=0
for character in s:
h = (h << 5 & mask) | (h >> 27)
h += ord(character)
return h
# limit to 32-bit integers
# 5-bit cyclic shift of running sum
# add in value of next character
As with the traditional polynomial hash code, fine-tuning is required when using a
cyclic-shift hash code, as we must wisely choose the amount to shift by for each
new character. Our choice of a 5-bit shift is justified by experiments run on a list of
just over 230,000 English words, comparing the number of collisions for various
shift amounts (see Table 10.1).
Shift
0
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
Collisions
Total Max
234735
623
165076
43
38471
13
7174
5
1379
3
190
3
502
2
560
2
5546
4
393
3
5194
5
11559
5
822
2
900
4
2001
4
19251
8
211781
37
Table 10.1: Comparison of collision behavior for the cyclic-shift hash code as applied to a list of 230,000 English words. The “Total” column records the total number of words that collide with at least one other, and the “Max” column records the
maximum number of words colliding at any one hash code. Note that with a cyclic
shift of 0, this hash code reverts to the one that simply sums all the characters.
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Hash Codes in Python
The standard mechanism for computing hash codes in Python is a built-in function
with signature hash(x) that returns an integer value that serves as the hash code for
object x. However, only immutable data types are deemed hashable in Python. This
restriction is meant to ensure that a particular object’s hash code remains constant
during that object’s lifespan. This is an important property for an object’s use as
a key in a hash table. A problem could occur if a key were inserted into the hash
table, yet a later search were performed for that key based on a different hash code
than that which it had when inserted; the wrong bucket would be searched.
Among Python’s built-in data types, the immutable int, float, str, tuple, and
frozenset classes produce robust hash codes, via the hash function, using techniques similar to those discussed earlier in this section. Hash codes for character
strings are well crafted based on a technique similar to polynomial hash codes,
except using exclusive-or computations rather than additions. If we repeat the experiment described in Table 10.1 using Python’s built-in hash codes, we find that
only 8 strings out of the set of more than 230,000 collide with another. Hash codes
for tuples are computed with a similar technique based upon a combination of the
hash codes of the individual elements of the tuple. When hashing a frozenset, the
order of the elements should be irrelevant, and so a natural option is to compute the
exclusive-or of the individual hash codes without any shifting. If hash(x) is called
for an instance x of a mutable type, such as a list, a TypeError is raised.
Instances of user-defined classes are treated as unhashable by default, with a
TypeError raised by the hash function. However, a function that computes hash
codes can be implemented in the form of a special method named hash within
a class. The returned hash code should reflect the immutable attributes of an instance. It is common to return a hash code that is itself based on the computed hash
of the combination of such attributes. For example, a Color class that maintains
three numeric red, green, and blue components might implement the method as:
def hash (self):
return hash( (self. red, self. green, self. blue) )
# hash combined tuple
An important rule to obey is that if a class defines equivalence through eq ,
then any implementation of hash must be consistent, in that if x == y, then
hash(x) == hash(y). This is important because if two instances are considered
to be equivalent and one is used as a key in a hash table, a search for the second
instance should result in the discovery of the first. It is therefore important that the
hash code for the second match the hash code for the first, so that the proper bucket
is examined. This rule extends to any well-defined comparisons between objects
of different classes. For example, since Python treats the expression 5 == 5.0 as
true, it ensures that hash(5) and hash(5.0) are the same.
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Compression Functions
The hash code for a key k will typically not be suitable for immediate use with a
bucket array, because the integer hash code may be negative or may exceed the capacity of the bucket array. Thus, once we have determined an integer hash code for
a key object k, there is still the issue of mapping that integer into the range [0, N −1].
This computation, known as a compression function, is the second action performed as part of an overall hash function. A good compression function is one
that minimizes the number of collisions for a given set of distinct hash codes.
The Division Method
A simple compression function is the division method, which maps an integer i to
i mod N,
where N, the size of the bucket array, is a fixed positive integer. Additionally, if we
take N to be a prime number, then this compression function helps “spread out” the
distribution of hashed values. Indeed, if N is not prime, then there is greater risk
that patterns in the distribution of hash codes will be repeated in the distribution of
hash values, thereby causing collisions. For example, if we insert keys with hash
codes {200, 205, 210, 215, 220, . . . , 600} into a bucket array of size 100, then each
hash code will collide with three others. But if we use a bucket array of size 101,
then there will be no collisions. If a hash function is chosen well, it should ensure
that the probability of two different keys getting hashed to the same bucket is 1/N.
Choosing N to be a prime number is not always enough, however, for if there is
a repeated pattern of hash codes of the form pN + q for several different p’s, then
there will still be collisions.
The MAD Method
A more sophisticated compression function, which helps eliminate repeated patterns in a set of integer keys, is the Multiply-Add-and-Divide (or “MAD”) method.
This method maps an integer i to
[(ai + b) mod p] mod N,
where N is the size of the bucket array, p is a prime number larger than N, and a
and b are integers chosen at random from the interval [0, p − 1], with a > 0. This
compression function is chosen in order to eliminate repeated patterns in the set of
hash codes and get us closer to having a “good” hash function, that is, one such that
the probability any two different keys collide is 1/N. This good behavior would be
the same as we would have if these keys were “thrown” into A uniformly at random.
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10.2.2 Collision-Handling Schemes
The main idea of a hash table is to take a bucket array, A, and a hash function, h, and
use them to implement a map by storing each item (k, v) in the “bucket” A[h(k)].
This simple idea is challenged, however, when we have two distinct keys, k1 and k2 ,
such that h(k1 ) = h(k2 ). The existence of such collisions prevents us from simply
inserting a new item (k, v) directly into the bucket A[h(k)]. It also complicates our
procedure for performing insertion, search, and deletion operations.
Separate Chaining
A simple and efficient way for dealing with collisions is to have each bucket A[ j]
store its own secondary container, holding items (k, v) such that h(k) = j. A natural
choice for the secondary container is a small map instance implemented using a list,
as described in Section 10.1.5. This collision resolution rule is known as separate
chaining, and is illustrated in Figure 10.6.
0
1
2
3
4
5
6
7
8
9
10 11 12
A
54
18
28
41
10
25
36
38
12
90
Figure 10.6: A hash table of size 13, storing 10 items with integer keys, with colli-
sions resolved by separate chaining. The compression function is h(k) = k mod 13.
For simplicity, we do not show the values associated with the keys.
In the worst case, operations on an individual bucket take time proportional to
the size of the bucket. Assuming we use a good hash function to index the n items
of our map in a bucket array of capacity N, the expected size of a bucket is n/N.
Therefore, if given a good hash function, the core map operations run in O( n/N).
The ratio λ = n/N, called the load factor of the hash table, should be bounded by
a small constant, preferably below 1. As long as λ is O(1), the core operations on
the hash table run in O(1) expected time.
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Open Addressing
The separate chaining rule has many nice properties, such as affording simple implementations of map operations, but it nevertheless has one slight disadvantage:
It requires the use of an auxiliary data structure—a list—to hold items with colliding keys. If space is at a premium (for example, if we are writing a program for a
small handheld device), then we can use the alternative approach of always storing
each item directly in a table slot. This approach saves space because no auxiliary
structures are employed, but it requires a bit more complexity to deal with collisions. There are several variants of this approach, collectively referred to as open
addressing schemes, which we discuss next. Open addressing requires that the load
factor is always at most 1 and that items are stored directly in the cells of the bucket
array itself.
Linear Probing and Its Variants
A simple method for collision handling with open addressing is linear probing.
With this approach, if we try to insert an item (k, v) into a bucket A[ j] that is already
occupied, where j = h(k), then we next try A[( j + 1) mod N]. If A[( j + 1) mod N]
is also occupied, then we try A[( j + 2) mod N], and so on, until we find an empty
bucket that can accept the new item. Once this bucket is located, we simply insert the item there. Of course, this collision resolution strategy requires that we
change the implementation when searching for an existing key—the first step of all
getitem , setitem , or delitem operations. In particular, to attempt
to locate an item with key equal to k, we must examine consecutive slots, starting
from A[h(k)], until we either find an item with that key or we find an empty bucket.
(See Figure 10.7.) The name “linear probing” comes from the fact that accessing a
cell of the bucket array can be viewed as a “probe.”
Must probe 4 times
before finding empty slot
New element with
key = 15 to be inserted
0
1
2
13
3
4
5
26
5
6
7
37 16
8
9
10
21
Figure 10.7: Insertion into a hash table with integer keys using linear probing. The
hash function is h(k) = k mod 11. Values associated with keys are not shown.
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To implement a deletion, we cannot simply remove a found item from its slot
in the array. For example, after the insertion of key 15 portrayed in Figure 10.7,
if the item with key 37 were trivially deleted, a subsequent search for 15 would
fail because that search would start by probing at index 4, then index 5, and then
index 6, at which an empty cell is found. A typical way to get around this difficulty is to replace a deleted item with a special “available” marker object. With
this special marker possibly occupying spaces in our hash table, we modify our
search algorithm so that the search for a key k will skip over cells containing the
available marker and continue probing until reaching the desired item or an empty
bucket (or returning back to where we started from). Additionally, our algorithm
for setitem should remember an available cell encountered during the search
for k, since this is a valid place to put a new item (k, v), if no existing item is found.
Although use of an open addressing scheme can save space, linear probing
suffers from an additional disadvantage. It tends to cluster the items of a map into
contiguous runs, which may even overlap (particularly if more than half of the cells
in the hash table are occupied). Such contiguous runs of occupied hash cells cause
searches to slow down considerably.
Another open addressing strategy, known as quadratic probing, iteratively tries
the buckets A[(h(k) + f (i)) mod N], for i = 0, 1, 2, . . ., where f (i) = i2 , until finding
an empty bucket. As with linear probing, the quadratic probing strategy complicates the removal operation, but it does avoid the kinds of clustering patterns that
occur with linear probing. Nevertheless, it creates its own kind of clustering, called
secondary clustering, where the set of filled array cells still has a non-uniform
pattern, even if we assume that the original hash codes are distributed uniformly.
When N is prime and the bucket array is less than half full, the quadratic probing
strategy is guaranteed to find an empty slot. However, this guarantee is not valid
once the table becomes at least half full, or if N is not chosen as a prime number;
we explore the cause of this type of clustering in an exercise (C-10.36).
An open addressing strategy that does not cause clustering of the kind produced
by linear probing or the kind produced by quadratic probing is the double hashing
strategy. In this approach, we choose a secondary hash function, h , and if h maps
some key k to a bucket A[h(k)] that is already occupied, then we iteratively try
the buckets A[(h(k) + f (i)) mod N] next, for i = 1, 2, 3, . . ., where f (i) = i · h (k).
In this scheme, the secondary hash function is not allowed to evaluate to zero; a
common choice is h (k) = q − (k mod q), for some prime number q < N. Also, N
should be a prime.
Another approach to avoid clustering with open addressing is to iteratively try
buckets A[(h(k) + f (i)) mod N] where f (i) is based on a pseudo-random number
generator, providing a repeatable, but somewhat arbitrary, sequence of subsequent
probes that depends upon bits of the original hash code. This is the approach currently used by Python’s dictionary class.
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10.2.3 Load Factors, Rehashing, and Efficiency
In the hash table schemes described thus far, it is important that the load factor,
λ = n/N, be kept below 1. With separate chaining, as λ gets very close to 1, the
probability of a collision greatly increases, which adds overhead to our operations,
since we must revert to linear-time list-based methods in buckets that have collisions. Experiments and average-case analyses suggest that we should maintain
λ < 0.9 for hash tables with separate chaining.
With open addressing, on the other hand, as the load factor λ grows beyond 0.5
and starts approaching 1, clusters of entries in the bucket array start to grow as well.
These clusters cause the probing strategies to “bounce around” the bucket array for
a considerable amount of time before they find an empty slot. In Exercise C-10.36,
we explore the degradation of quadratic probing when λ ≥ 0.5. Experiments suggest that we should maintain λ < 0.5 for an open addressing scheme with linear
probing, and perhaps only a bit higher for other open addressing schemes (for example, Python’s implementation of open addressing enforces that λ < 2/3).
If an insertion causes the load factor of a hash table to go above the specified
threshold, then it is common to resize the table (to regain the specified load factor)
and to reinsert all objects into this new table. Although we need not define a new
hash code for each object, we do need to reapply a new compression function that
takes into consideration the size of the new table. Each rehashing will generally
scatter the items throughout the new bucket array. When rehashing to a new table, it
is a good requirement for the new array’s size to be at least double the previous size.
Indeed, if we always double the size of the table with each rehashing operation, then
we can amortize the cost of rehashing all the entries in the table against the time
used to insert them in the first place (as with dynamic arrays; see Section 5.3).
Efficiency of Hash Tables
Although the details of the average-case analysis of hashing are beyond the scope
of this book, its probabilistic basis is quite intuitive. If our hash function is good,
then we expect the entries to be uniformly distributed in the N cells of the bucket
array. Thus, to store n entries, the expected number of keys in a bucket would
be n/N, which is O(1) if n is O(N).
The costs associated with a periodic rehashing, to resize a table after occasional
insertions or deletions can be accounted for separately, leading to an additional
O(1) amortized cost for setitem and getitem .
In the worst case, a poor hash function could map every item to the same bucket.
This would result in linear-time performance for the core map operations with separate chaining, or with any open addressing model in which the secondary sequence
of probes depends only on the hash code. A summary of these costs is given in
Table 10.2.
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Operation
List
getitem
setitem
delitem
len
iter
O(n)
O(n)
O(n)
O(1)
O(n)
Hash Table
expected worst case
O(1)
O(n)
O(1)
O(n)
O(1)
O(n)
O(1)
O(1)
O(n)
O(n)
Table 10.2: Comparison of the running times of the methods of a map realized by
means of an unsorted list (as in Section 10.1.5) or a hash table. We let n denote
the number of items in the map, and we assume that the bucket array supporting
the hash table is maintained such that its capacity is proportional to the number of
items in the map.
In practice, hash tables are among the most efficient means for implementing
a map, and it is essentially taken for granted by programmers that their core operations run in constant time. Python’s dict class is implemented with hashing, and
the Python interpreter relies on dictionaries to retrieve an object that is referenced
by an identifier in a given namespace. (See Sections 1.10 and 2.5.) The basic command c = a + b involves two calls to getitem in the dictionary for the local
namespace to retrieve the values identified as a and b, and a call to setitem
to store the result associated with name c in that namespace. In our own algorithm
analysis, we simply presume that such dictionary operations run in constant time,
independent of the number of entries in the namespace. (Admittedly, the number
of entries in a typical namespace can almost surely be bounded by a constant.)
In a 2003 academic paper [31], researchers discuss the possibility of exploiting
a hash table’s worst-case performance to cause a denial-of-service (DoS) attack
of Internet technologies. For many published algorithms that compute hash codes,
they note that an attacker could precompute a very large number of moderate-length
strings that all hash to the identical 32-bit hash code. (Recall that by any of the
hashing schemes we describe, other than double hashing, if two keys are mapped
to the same hash code, they will be inseparable in the collision resolution.)
In late 2011, another team of researchers demonstrated an implementation of
just such an attack [61]. Web servers allow a series of key-value parameters to be
embedded in a URL using a syntax such as ?key1=val1&key2=val2&key3=val3.
Typically, those key-value pairs are immediately stored in a map by the server,
and a limit is placed on the length and number of such parameters presuming that
storage time in the map will be linear in the number of entries. If all keys were
to collide, that storage requires quadratic time (causing the server to perform an
inordinate amount of work). In spring of 2012, Python developers distributed a
security patch that introduces randomization into the computation of hash codes
for strings, making it less tractable to reverse engineer a set of colliding strings.
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10.2.4 Python Hash Table Implementation
In this section, we develop two implementations of a hash table, one using separate chaining and the other using open addressing with linear probing. While these
approaches to collision resolution are quite different, there are a great many commonalities to the hashing algorithms. For that reason, we extend the MapBase
class (from Code Fragment 10.2), to define a new HashMapBase class (see Code
Fragment 10.4), providing much of the common functionality to our two hash table
implementations. The main design elements of the HashMapBase class are:
• The bucket array is represented as a Python list, named self. table, with all
entries initialized to None.
• We maintain an instance variable self. n that represents the number of distinct items that are currently stored in the hash table.
• If the load factor of the table increases beyond 0.5, we double the size of the
table and rehash all items into the new table.
• We define a hash function utility method that relies on Python’s built-in
hash function to produce hash codes for keys, and a randomized MultiplyAdd-and-Divide (MAD) formula for the compression function.
What is not implemented in the base class is any notion of how a “bucket”
should be represented. With separate chaining, each bucket will be an independent
structure. With open addressing, however, there is no tangible container for each
bucket; the “buckets” are effectively interleaved due to the probing sequences.
In our design, the HashMapBase class presumes the following to be abstract
methods, which must be implemented by each concrete subclass:
• bucket getitem(j, k)
This method should search bucket j for an item having key k, returning the
associated value, if found, or else raising a KeyError.
• bucket setitem(j, k, v)
This method should modify bucket j so that key k becomes associated with
value v. If the key already exists, the new value overwrites the existing value.
Otherwise, a new item is inserted and this method is responsible for incrementing self. n.
• bucket delitem(j, k)
This method should remove the item from bucket j having key k, or raise a
KeyError if no such item exists. (self. n is decremented after this method.)
•
iter
This is the standard map method to iterate through all keys of the map. Our
base class does not delegate this on a per-bucket basis because “buckets” in
open addressing are not inherently disjoint.
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1 class HashMapBase(MapBase):
2
”””Abstract base class for map using hash-table with MAD compression.”””
3
4
def init (self, cap=11, p=109345121):
5
”””Create an empty hash-table map.”””
6
self. table = cap [ None ]
# number of entries in the map
7
self. n = 0
# prime for MAD compression
8
self. prime = p
# scale from 1 to p-1 for MAD
9
self. scale = 1 + randrange(p−1)
# shift from 0 to p-1 for MAD
10
self. shift = randrange(p)
11
12
def hash function(self, k):
13
return (hash(k) self. scale + self. shift) % self. prime % len(self. table)
14
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def len (self):
16
return self. n
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def getitem (self, k):
19
j = self. hash function(k)
# may raise KeyError
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return self. bucket getitem(j, k)
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def setitem (self, k, v):
23
j = self. hash function(k)
# subroutine maintains self. n
24
self. bucket setitem(j, k, v)
# keep load factor <= 0.5
25
if self. n > len(self. table) // 2:
# number 2ˆx - 1 is often prime
26
self. resize(2 len(self. table) − 1)
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def delitem (self, k):
29
j = self. hash function(k)
# may raise KeyError
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self. bucket delitem(j, k)
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self. n −= 1
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# resize bucket array to capacity c
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def resize(self, c):
34
old = list(self.items( ))
# use iteration to record existing items
# then reset table to desired capacity
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self. table = c [None]
# n recomputed during subsequent adds
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self. n = 0
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for (k,v) in old:
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self[k] = v
# reinsert old key-value pair
Code Fragment 10.4: A base class for our hash table implementations, extending
our MapBase class from Code Fragment 10.2.
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Separate Chaining
Code Fragment 10.5 provides a concrete implementation of a hash table with separate chaining, in the form of the ChainHashMap class. To represent a single bucket,
it relies on an instance of the UnsortedTableMap class from Code Fragment 10.3.
The first three methods in the class use index j to access the potential bucket in
the bucket array, and a check for the special case in which that table entry is None.
The only time we need a new bucket structure is when bucket setitem is called on
an otherwise empty slot. The remaining functionality relies on map behaviors that
are already supported by the individual UnsortedTableMap instances. We need a
bit of forethought to determine whether the application of setitem on the chain
causes a net increase in the size of the map (that is, whether the given key is new).
1 class ChainHashMap(HashMapBase):
2
”””Hash map implemented with separate chaining for collision resolution.”””
3
4
def bucket getitem(self, j, k):
5
bucket = self. table[j]
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if bucket is None:
# no match found
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raise KeyError( Key Error: + repr(k))
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return bucket[k]
# may raise KeyError
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def bucket setitem(self, j, k, v):
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if self. table[j] is None:
# bucket is new to the table
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self. table[j] = UnsortedTableMap( )
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oldsize = len(self. table[j])
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self. table[j][k] = v
# key was new to the table
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if len(self. table[j]) > oldsize:
# increase overall map size
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self. n += 1
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def bucket delitem(self, j, k):
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bucket = self. table[j]
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if bucket is None:
# no match found
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raise KeyError( Key Error: + repr(k))
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del bucket[k]
# may raise KeyError
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def iter (self):
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for bucket in self. table:
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if bucket is not None:
# a nonempty slot
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for key in bucket:
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yield key
Code Fragment 10.5: Concrete hash map class with separate chaining.
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10.2. Hash Tables
425
Linear Probing
Our implementation of a ProbeHashMap class, using open addressing with linear
probing, is given in Code Fragments 10.6 and 10.7. In order to support deletions,
we use a technique described in Section 10.2.2 in which we place a special marker
in a table location at which an item has been deleted, so that we can distinguish
between it and a location that has always been empty. In our implementation, we
declare a class-level attribute, AVAIL, as a sentinel. (We use an instance of the
built-in object class because we do not care about any behaviors of the sentinel,
just our ability to differentiate it from other objects.)
The most challenging aspect of open addressing is to properly trace the series
of probes when collisions occur during an insertion or search for an item. To this
end, we define a nonpublic utility, find slot, that searches for an item with key k
in “bucket” j (that is, where j is the index returned by the hash function for key k).
1 class ProbeHashMap(HashMapBase):
2
”””Hash map implemented with linear probing for collision resolution.”””
AVAIL = object( )
# sentinal marks locations of previous deletions
3
4
5
def is available(self, j):
6
”””Return True if index j is available in table.”””
7
return self. table[j] is None or self. table[j] is ProbeHashMap. AVAIL
8
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def find slot(self, j, k):
10
”””Search for key k in bucket at index j.
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Return (success, index) tuple, described as follows:
13
If match was found, success is True and index denotes its location.
14
If no match found, success is False and index denotes first available slot.
15
”””
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firstAvail = None
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while True:
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if self. is available(j):
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if firstAvail is None:
20
firstAvail = j
# mark this as first avail
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if self. table[j] is None:
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return (False, firstAvail)
# search has failed
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elif k == self. table[j]. key:
24
return (True, j)
# found a match
# keep looking (cyclically)
25
j = (j + 1) % len(self. table)
Code Fragment 10.6: Concrete ProbeHashMap class that uses linear probing for
collision resolution (continued in Code Fragment 10.7).
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def bucket getitem(self, j, k):
found, s = self. find slot(j, k)
if not found:
raise KeyError( Key Error:
return self. table[s]. value
+ repr(k))
def bucket setitem(self, j, k, v):
found, s = self. find slot(j, k)
if not found:
self. table[s] = self. Item(k,v)
self. n += 1
else:
self. table[s]. value = v
def bucket delitem(self, j, k):
found, s = self. find slot(j, k)
if not found:
raise KeyError( Key Error: + repr(k))
self. table[s] = ProbeHashMap. AVAIL
def iter (self):
for j in range(len(self. table)):
if not self. is available(j):
yield self. table[j]. key
# no match found
# insert new item
# size has increased
# overwrite existing
# no match found
# mark as vacated
# scan entire table
Code Fragment 10.7: Concrete ProbeHashMap class that uses linear probing for
collision resolution (continued from Code Fragment 10.6).
The three primary map operations each rely on the find slot utility. When attempting to retrieve the value associated with a given key, we must continue probing
until we find the key, or until we reach a table slot with the None value. We cannot
stop the search upon reaching an AVAIL sentinel, because it represents a location
that may have been filled when the desired item was once inserted.
When a key-value pair is being assigned in the map, we must attempt to find
an existing item with the given key, so that we might overwrite its value, before
adding a new item to the map. Therefore, we must search beyond any occurrences
of the AVAIL sentinel when inserting. However, if no match is found, we prefer to
repurpose the first slot marked with AVAIL, if any, when placing the new element
in the table. The find slot method enacts this logic, continuing the search until a
truly empty slot, but returning the index of the first available slot for an insertion.
When deleting an existing item within bucket delitem, we intentionally set
the table entry to the AVAIL sentinel in accordance with our strategy.
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10.3. Sorted Maps
10.3
427
Sorted Maps
The traditional map ADT allows a user to look up the value associated with a given
key, but the search for that key is a form known as an exact search.
For example, computer systems often maintain information about events that
have occurred (such as financial transactions), organizing such events based upon
what are known as time stamps. If we can assume that time stamps are unique
for a particular system, then we might organize a map with a time stamp serving
as the key, and a record about the event that occurred at that time as the value. A
particular time stamp could serve as a reference ID for an event, in which case we
can quickly retrieve information about that event from the map. However, the map
ADT does not provide any way to get a list of all events ordered by the time at
which they occur, or to search for which event occurred closest to a particular time.
In fact, the fast performance of hash-based implementations of the map ADT relies
on the intentionally scattering of keys that may seem very “near” to each other in
the original domain, so that they are more uniformly distributed in a hash table.
In this section, we introduce an extension known as the sorted map ADT that
includes all behaviors of the standard map, plus the following:
M.find min( ): Return the (key,value) pair with minimum key
(or None, if map is empty).
M.find max( ): Return the (key,value) pair with maximum key
(or None, if map is empty).
M.find lt(k): Return the (key,value) pair with the greatest key that
is strictly less than k (or None, if no such item exists).
M.find le(k): Return the (key,value) pair with the greatest key that
is less than or equal to k (or None, if no such item
exists).
M.find gt(k): Return the (key,value) pair with the least key that is
strictly greater than k (or None, if no such item exists).
M.find ge(k): Return the (key,value) pair with the least key that is
greater than or equal to k (or None, if no such item).
M.find range(start, stop): Iterate all (key,value) pairs with start <= key < stop.
If start is None, iteration begins with minimum key; if
stop is None, iteration concludes with maximum key.
iter(M): Iterate all keys of the map according to their natural
order, from smallest to largest.
reversed(M): Iterate all keys of the map in reverse order; in Python,
this is implemented with the reversed method.
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10.3.1 Sorted Search Tables
Several data structures can efficiently support the sorted map ADT, and we will
examine some advanced techniques in Section 10.4 and Chapter 11. In this section,
we begin by exploring a simple implementation of a sorted map. We store the
map’s items in an array-based sequence A so that they are in increasing order of
their keys, assuming the keys have a naturally defined order. (See Figure 10.8.) We
refer to this implementation of a map as a sorted search table.
0
1
2
3
4
5
6
7
8
9 10 11 12 13 14 15
2
4
5
7
8
9 12 14 17 19 22 25 27 28 33 37
Figure 10.8: Realization of a map by means of a sorted search table. We show only
the keys for this map, so as to highlight their ordering.
As was the case with the unsorted table map of Section 10.1.5, the sorted search
table has a space requirement that is O(n), assuming we grow and shrink the array
to keep its size proportional to the number of items in the map. The primary advantage of this representation, and our reason for insisting that A be array-based, is that
it allows us to use the binary search algorithm for a variety of efficient operations.
Binary Search and Inexact Searches
We originally presented the binary search algorithm in Section 4.1.3, as a means for
detecting whether a given target is stored within a sorted sequence. In our original
presentation (Code Fragment 4.3 on page 156), a binary search function returned
True of False to designate whether the desired target was found. While such an
approach could be used to implement the contains method of the map ADT,
we can adapt the binary search algorithm to provide far more useful information
when performing forms of inexact search in support of the sorted map ADT.
The important realization is that while performing a binary search, we can determine the index at or near where a target might be found. During a successful
search, the standard implementation determines the precise index at which the target is found. During an unsuccessful search, although the target is not found, the
algorithm will effectively determine a pair of indices designating elements of the
collection that are just less than or just greater than the missing target.
As a motivating example, our original simulation from Figure 4.5 on page 156
shows a successful binary search for a target of 22, using the same data we portray
in Figure 10.8. Had we instead been searching for 21, the first four steps of the
algorithm would be the same. The subsequent difference is that we would make an
additional call with inverted parameters high=9 and low=10, effectively concluding that the missing target lies in the gap between values 19 and 22 in that example.
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429
Implementation
In Code Fragments 10.8 through 10.10, we present a complete implementation of a
class, SortedTableMap, that supports the sorted map ADT. The most notable feature of our design is the inclusion of a find index utility function. This method
using the binary search algorithm, but by convention returns the index of the leftmost item in the search interval having key greater than or equal to k. Therefore, if
the key is present, it will return the index of the item having that key. (Recall that
keys are unique in a map.) When the key is missing, the function returns the index
of the item in the search interval that is just beyond where the key would have been
located. As a technicality, the method returns index high + 1 to indicate that no
items of the interval had a key greater than k.
We rely on this utility method when implementing the traditional map operations and the new sorted map operations. The body of each of the getitem ,
setitem , and delitem methods begins with a call to find index to determine a candidate index at which a matching key might be found. For getitem ,
we simply check whether that is a valid index containing the target to determine the
result. For setitem , recall that the goal is to replace the value of an existing
item, if one with key k is found, but otherwise to insert a new item into the map. The
index returned by find index will be the index of the match, if one exists, or otherwise the exact index at which the new item should be inserted. For delitem ,
we again rely on the convenience of find index to determine the location of the
item to be popped, if any.
Our find index utility is equally valuable when implementing the various inexact search methods given in Code Fragment 10.10. For each of the methods
find lt, find le, find gt, and find ge, we begin with a call to find index utility,
which locates the first index at which there is an element with key ≥ k, if any. This
is precisely what we want for find ge, if valid, and just beyond the index we want
for find lt. For find gt and find le we need some extra case analysis to distinguish
whether the indicated index has a key equal to k. For example, if the indicated
item has a matching key, our find gt implementation increments the index before
continuing with the process. (We omit the implementation of find le, for brevity.)
In all cases, we must properly handle boundary cases, reporting None when unable
to find a key with the desired property.
Our strategy for implementing find range is to use the find index utility to
locate the first item with key ≥ start (assuming start is not None). With that knowledge, we use a while loop to sequentially report items until reaching one that has
a key greater than or equal to the stopping value (or until reaching the end of the
table). It is worth noting that the while loop may trivially iterate zero items if the
first key that is greater than or equal to start also happens to be greater than or equal
to stop. This represents an empty range in the map.
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Chapter 10. Maps, Hash Tables, and Skip Lists
1 class SortedTableMap(MapBase):
2
”””Map implementation using a sorted table.”””
3
4
#----------------------------- nonpublic behaviors ----------------------------5
def find index(self, k, low, high):
6
”””Return index of the leftmost item with key greater than or equal to k.
7
8
Return high + 1 if no such item qualifies.
9
10
That is, j will be returned such that:
11
all items of slice table[low:j] have key < k
12
all items of slice table[j:high+1] have key >= k
13
”””
14
if high < low:
15
return high + 1
# no element qualifies
16
else:
17
mid = (low + high) // 2
18
if k == self. table[mid]. key:
19
return mid
# found exact match
20
elif k < self. table[mid]. key:
# Note: may return mid
21
return self. find index(k, low, mid − 1)
22
else:
23
return self. find index(k, mid + 1, high) # answer is right of mid
24
25
#----------------------------- public behaviors ----------------------------26
def init (self):
27
”””Create an empty map.”””
28
self. table = [ ]
29
30
def len (self):
31
”””Return number of items in the map.”””
32
return len(self. table)
33
34
def getitem (self, k):
35
”””Return value associated with key k (raise KeyError if not found).”””
36
j = self. find index(k, 0, len(self. table) − 1)
37
if j == len(self. table) or self. table[j]. key != k:
38
raise KeyError( Key Error: + repr(k))
39
return self. table[j]. value
Code Fragment 10.8: An implementation of a SortedTableMap class (continued in
Code Fragments 10.9 and 10.10).
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def setitem (self, k, v):
”””Assign value v to key k, overwriting existing value if present.”””
j = self. find index(k, 0, len(self. table) − 1)
if j < len(self. table) and self. table[j]. key == k:
# reassign value
self. table[j]. value = v
else:
# adds new item
self. table.insert(j, self. Item(k,v))
def delitem (self, k):
”””Remove item associated with key k (raise KeyError if not found).”””
j = self. find index(k, 0, len(self. table) − 1)
if j == len(self. table) or self. table[j]. key != k:
raise KeyError( Key Error: + repr(k))
# delete item
self. table.pop(j)
def iter (self):
”””Generate keys of the map ordered from minimum to maximum.”””
for item in self. table:
yield item. key
def reversed (self):
”””Generate keys of the map ordered from maximum to minimum.”””
for item in reversed(self. table):
yield item. key
def find min(self):
”””Return (key,value) pair with minimum key (or None if empty).”””
if len(self. table) > 0:
return (self. table[0]. key, self. table[0]. value)
else:
return None
def find max(self):
”””Return (key,value) pair with maximum key (or None if empty).”””
if len(self. table) > 0:
return (self. table[−1]. key, self. table[−1]. value)
else:
return None
Code Fragment 10.9: An implementation of a SortedTableMap class (together with
Code Fragments 10.8 and 10.10).
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def find ge(self, k):
”””Return (key,value) pair with least key greater than or equal to k.”””
# j s key >= k
j = self. find index(k, 0, len(self. table) − 1)
if j < len(self. table):
return (self. table[j]. key, self. table[j]. value)
else:
return None
def find lt(self, k):
”””Return (key,value) pair with greatest key strictly less than k.”””
# j s key >= k
j = self. find index(k, 0, len(self. table) − 1)
if j > 0:
return (self. table[j−1]. key, self. table[j−1]. value) # Note use of j-1
else:
return None
def find gt(self, k):
”””Return (key,value) pair with least key strictly greater than k.”””
# j s key >= k
j = self. find index(k, 0, len(self. table) − 1)
if j < len(self. table) and self. table[j]. key == k:
j += 1
# advanced past match
if j < len(self. table):
return (self. table[j]. key, self. table[j]. value)
else:
return None
def find range(self, start, stop):
”””Iterate all (key,value) pairs such that start <= key < stop.
If start is None, iteration begins with minimum key of map.
If stop is None, iteration continues through the maximum key of map.
”””
if start is None:
j=0
else:
# find first result
j = self. find index(start, 0, len(self. table)−1)
while j < len(self. table) and (stop is None or self. table[j]. key < stop):
yield (self. table[j]. key, self. table[j]. value)
j += 1
Code Fragment 10.10: An implementation of a SortedTableMap class (continued
from Code Fragments 10.9 and 10.10). We omit the find le method due to space.
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Analysis
We conclude by analyzing the performance of our SortedTableMap implementation. A summary of the running times for all methods of the sorted map ADT
(including the traditional map operations) is given in Table 10.3. It should be clear
that the len , find min, and find max methods run in O(1) time, and that iterating the keys of the table in either direction can be peformed in O(n) time.
The analysis for the various forms of search all depend on the fact that a binary
search on a table with n entries runs in O(log n) time. This claim was originally
shown as Proposition 4.2 in Section 4.2, and that analysis clearly applies to our
find index method as well. We therefore claim an O(log n) worst-case running
time for methods getitem , find lt, find gt, find le, and find ge. Each of these
makes a single call to find index, followed by a constant number of additional
steps to determine the appropriate answer based on the index. The analysis of
find range is a bit more interesting. It begins with a binary search to find the first
item within the range (if any). After that, it executes a loop that takes O(1) time per
iteration to report subsequent values until reaching the end of the range. If there are
s items reported in the range, the total running time is O(s + log n).
In contrast to the efficient search operations, update operations for a sorted table
may take considerable time. Although binary search can help identify the index at
which an update occurs, both insertions and deletions require, in the worst case, that
linearly many existing elements be shifted in order to maintain the sorted order of
the table. Specifically, the potential call to table.insert from within setitem
and table.pop from within delitem lead to O(n) worst-case time. (See the
discussion of corresponding operations of the list class in Section 5.4.1.)
In conclusion, sorted tables are primarily used in situations where we expect
many searches but relatively few updates.
Operation
len(M)
k in M
M[k] = v
del M[k]
M.find min( ), M.find max( )
M.find lt(k), M.find gt(k)
M.find le(k), M.find ge(k)
M.find range(start, stop)
iter(M), reversed(M)
Running Time
O(1)
O(log n)
O(n) worst case; O(log n) if existing k
O(n) worst case
O(1)
O(log n)
O(s + log n) where s items are reported
O(n)
Table 10.3: Performance of a sorted map, as implemented with SortedTableMap.
We use n to denote the number of items in the map at the time the operation is
performed. The space requirement is O(n).
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434
10.3.2 Two Applications of Sorted Maps
In this section, we explore applications in which there is particular advantage to
using a sorted map rather than a traditional (unsorted) map. To apply a sorted
map, keys must come from a domain that is totally ordered. Furthermore, to take
advantage of the inexact or range searches afforded by a sorted map, there should
be some reason why nearby keys have relevance to a search.
Flight Databases
There are several Web sites on the Internet that allow users to perform queries on
flight databases to find flights between various cities, typically with the intent to
buy a ticket. To make a query, a user specifies origin and destination cities, a departure date, and a departure time. To support such queries, we can model the flight
database as a map, where keys are Flight objects that contain fields corresponding
to these four parameters. That is, a key is a tuple
k = (origin, destination, date, time).
Additional information about a flight, such as the flight number, the number of seats
still available in first (F) and coach (Y) class, the flight duration, and the fare, can
be stored in the value object.
Finding a requested flight is not simply a matter of finding an exact match
for a requested query. Although a user typically wants to exactly match the origin and destination cities, he or she may have flexibility for the departure date,
and certainly will have some flexibility for the departure time on a specific day.
We can handle such a query by ordering our keys lexicographically. Then, an efficient implementation for a sorted map would be a good way to satisfy users’
queries. For instance, given a user query key k, we could call find ge(k) to return
the first flight between the desired cities, having a departure date and time matching the desired query or later. Better yet, with well-constructed keys, we could
use find range(k1, k2) to find all flights within a given range of times. For example, if k1 = (ORD, PVD, 05May, 09:30), and k2 = (ORD, PVD, 05May, 20:00),
a respective call to find range(k1, k2) might result in the following sequence of
key-value pairs:
(ORD,
(ORD,
(ORD,
(ORD,
PVD,
PVD,
PVD,
PVD,
05May,
05May,
05May,
05May,
09:53)
13:29)
17:39)
19:50)
:
:
:
:
(AA
(AA
(AA
(AA
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1840, F5, Y15, 02:05, 251),
600, F2, Y0, 02:16, 713),
416, F3, Y9, 02:09, 365),
1828, F9, Y25, 02:13, 186)
10.3. Sorted Maps
435
Maxima Sets
Life is full of trade-offs. We often have to trade off a desired performance measure
against a corresponding cost. Suppose, for the sake of an example, we are interested
in maintaining a database rating automobiles by their maximum speeds and their
cost. We would like to allow someone with a certain amount of money to query our
database to find the fastest car they can possibly afford.
We can model such a trade-off problem as this by using a key-value pair to
model the two parameters that we are trading off, which in this case would be the
pair (cost, speed) for each car. Notice that some cars are strictly better than other
cars using this measure. For example, a car with cost-speed pair (20000, 100) is
strictly better than a car with cost-speed pair (30000, 90). At the same time, there
are some cars that are not strictly dominated by another car. For example, a car with
cost-speed pair (20000, 100) may be better or worse than a car with cost-speed pair
(30000, 120), depending on how much money we have to spend. (See Figure 10.9.)
Performance
g h
f
p
b
e
c d
a
Cost
Figure 10.9: Illustrating the cost-performance trade-off with pairs represented by
points in the plane. Notice that point p is strictly better than points c, d, and e, but
may be better or worse than points a, b, f , g, and h, depending on the price we are
willing to pay. Thus, if we were to add p to our set, we could remove the points c,
d, and e, but not the others.
Formally, we say a cost-performance pair (a, b) dominates pair (c, d) = (a, b)
if a ≤ c and b ≥ d, that is, if the first pair has no greater cost and at least as good
performance. A pair (a, b) is called a maximum pair if it is not dominated by any
other pair. We are interested in maintaining the set of maxima of a collection of
cost-performance pairs. That is, we would like to add new pairs to this collection
(for example, when a new car is introduced), and to query this collection for a given
dollar amount, d, to find the fastest car that costs no more than d dollars.
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Chapter 10. Maps, Hash Tables, and Skip Lists
Maintaining a Maxima Set with a Sorted Map
We can store the set of maxima pairs in a sorted map, M, so that the cost is the
key field and performance (speed) is the value field. We can then implement operations add(c, p), which adds a new cost-performance pair (c, p), and best(c), which
returns the best pair with cost at most c, as shown in Code Fragment 10.11.
1 class CostPerformanceDatabase:
2
”””Maintain a database of maximal (cost,performance) pairs.”””
3
4
def init (self):
5
”””Create an empty database.”””
# or a more efficient sorted map
6
self. M = SortedTableMap( )
7
8
def best(self, c):
9
”””Return (cost,performance) pair with largest cost not exceeding c.
10
11
Return None if there is no such pair.
12
”””
13
return self. M.find le(c)
14
15
def add(self, c, p):
16
”””Add new entry with cost c and performance p.”””
17
# determine if (c,p) is dominated by an existing pair
# other is at least as cheap as c
18
other = self. M.find le(c)
19
if other is not None and other[1] >= p: # if its performance is as good,
20
return
# (c,p) is dominated, so ignore
# else, add (c,p) to database
21
self. M[c] = p
22
# and now remove any pairs that are dominated by (c,p)
# other more expensive than c
23
other = self. M.find gt(c)
24
while other is not None and other[1] <= p:
25
del self. M[other[0]]
26
other = self. M.find gt(c)
Code Fragment 10.11: An implementation of a class maintaining a set of maxima
cost-performance pairs using a sorted map.
Unfortunately, if we implement M using the SortedTableMap, the add behavior
has O(n) worst-case running time. If, on the other hand, we implement M using
a skip list, which we next describe, we can perform best(c) queries in O(log n)
expected time and add(c, p) updates in O((1 + r) log n) expected time, where r is
the number of points removed.
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10.4. Skip Lists
10.4
437
Skip Lists
An interesting data structure for realizing the sorted map ADT is the skip list. In
Section 10.3.1, we saw that a sorted array will allow O(log n)-time searches via the
binary search algorithm. Unfortunately, update operations on a sorted array have
O(n) worst-case running time because of the need to shift elements. In Chapter 7
we demonstrated that linked lists support very efficient update operations, as long
as the position within the list is identified. Unfortunately, we cannot perform fast
searches on a standard linked list; for example, the binary search algorithm requires
an efficient means for direct accessing an element of a sequence by index.
Skip lists provide a clever compromise to efficiently support search and update
operations. A skip list S for a map M consists of a series of lists {S0 , S1 , . . . , Sh }.
Each list Si stores a subset of the items of M sorted by increasing keys, plus items
with two sentinel keys denoted −∞ and +∞, where −∞ is smaller than every
possible key that can be inserted in M and +∞ is larger than every possible key
that can be inserted in M. In addition, the lists in S satisfy the following:
• List S0 contains every item of the map M (plus sentinels −∞ and +∞).
• For i = 1, . . . , h − 1, list Si contains (in addition to −∞ and +∞) a randomly
generated subset of the items in list Si−1 .
• List Sh contains only −∞ and +∞.
An example of a skip list is shown in Figure 10.10. It is customary to visualize a
skip list S with list S0 at the bottom and lists S1 , . . . , Sh above it. Also, we refer to h
as the height of skip list S.
Intuitively, the lists are set up so that Si+1 contains more or less alternate items
of Si . As we shall see in the details of the insertion method, the items in Si+1 are
chosen at random from the items in Si by picking each item from Si to also be in
Si+1 with probability 1/2. That is, in essence, we “flip a coin” for each item in Si
S5
-∞
S4
-∞
17
S3
-∞
17
25
S2
-∞
17
25
31
S1
-∞
12
17
25
31
38
S0
-∞
12
17
25
31
38
+∞
+∞
20
44
39
44
50
55
+∞
55
+∞
55
+∞
55
+∞
Figure 10.10: Example of a skip list storing 10 items. For simplicity, we show only
the items’ keys, not their associated values.
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Chapter 10. Maps, Hash Tables, and Skip Lists
and place that item in Si+1 if the coin comes up “heads.” Thus, we expect S1 to have
about n/2 items, S2 to have about n/4 items, and, in general, Si to have about n/2i
items. In other words, we expect the height h of S to be about log n. The halving of
the number of items from one list to the next is not enforced as an explicit property
of skip lists, however. Instead, randomization is used.
Functions that generate numbers that can be viewed as random numbers are
built into most modern computers, because they are used extensively in computer
games, cryptography, and computer simulations, Some functions, called pseudorandom number generators, generate random-like numbers, starting with an initial
seed. (See discusion of random module in Section 1.11.1.) Other methods use
hardware devices to extract “true” random numbers from nature. In any case, we
will assume that our computer has access to numbers that are sufficiently random
for our analysis.
The main advantage of using randomization in data structure and algorithm
design is that the structures and functions that result are usually simple and efficient.
The skip list has the same logarithmic time bounds for searching as is achieved by
the binary search algorithm, yet it extends that performance to update methods
when inserting or deleting items. Nevertheless, the bounds are expected for the
skip list, while binary search has a worst-case bound with a sorted table.
A skip list makes random choices in arranging its structure in such a way that
search and update times are O(log n) on average, where n is the number of items
in the map. Interestingly, the notion of average time complexity used here does not
depend on the probability distribution of the keys in the input. Instead, it depends
on the use of a random-number generator in the implementation of the insertions
to help decide where to place the new item. The running time is averaged over all
possible outcomes of the random numbers used when inserting entries.
Using the position abstraction used for lists and trees, we view a skip list as a
two-dimensional collection of positions arranged horizontally into levels and vertically into towers. Each level is a list Si and each tower contains positions storing
the same item across consecutive lists. The positions in a skip list can be traversed
using the following operations:
next(p): Return the position following p on the same level.
prev(p): Return the position preceding p on the same level.
below(p): Return the position below p in the same tower.
above(p): Return the position above p in the same tower.
We conventionally assume that the above operations return None if the position
requested does not exist. Without going into the details, we note that we can easily implement a skip list by means of a linked structure such that the individual
traversal methods each take O(1) time, given a skip-list position p. Such a linked
structure is essentially a collection of h doubly linked lists aligned at towers, which
are also doubly linked lists.
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439
10.4.1 Search and Update Operations in a Skip List
The skip-list structure affords simple map search and update algorithms. In fact,
all of the skip-list search and update algorithms are based on an elegant SkipSearch
method that takes a key k and finds the position p of the item in list S0 that has the
largest key less than or equal to k (which is possibly −∞).
Searching in a Skip List
Suppose we are given a search key k. We begin the SkipSearch method by setting
a position variable p to the topmost, left position in the skip list S, called the start
position of S. That is, the start position is the position of Sh storing the special
entry with key −∞. We then perform the following steps (see Figure 10.11), where
key(p) denotes the key of the item at position p:
1. If S.below(p) is None, then the search terminates—we are at the bottom and
have located the item in S with the largest key less than or equal to the search
key k. Otherwise, we drop down to the next lower level in the present tower
by setting p = S.below(p).
2. Starting at position p, we move p forward until it is at the rightmost position
on the present level such that key(p) ≤ k. We call this the scan forward step.
Note that such a position always exists, since each level contains the keys
+∞ and −∞. It may be that p remains where it started after we perform
such a forward scan for this level.
3. Return to step 1.
S5
-∞
S4
-∞
17
S3
-∞
17
25
S2
-∞
17
25
31
S1
-∞
12
17
25
31
38
S0
-∞
12
17
25
31
38
+∞
+∞
20
44
39
44
50
55
+∞
55
+∞
55
+∞
55
+∞
Figure 10.11: Example of a search in a skip list. The positions examined when
searching for key 50 are highlighted.
We give a pseudo-code description of the skip-list search algorithm, SkipSearch,
in Code Fragment 10.12. Given this method, the map operation M[k] is performed
by computing p = SkipSearch(k) and testing whether or not key(p) = k. If these
two keys are equal, we return the associated value; otherwise, we raise a KeyError.
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Chapter 10. Maps, Hash Tables, and Skip Lists
440
Algorithm SkipSearch(k):
Input: A search key k
Output: Position p in the bottom list S0 with the largest key such that key(p) ≤ k
p = start
{begin at start position}
while below(p) = None do
p = below(p)
{drop down}
while k ≥ key(next(p)) do
p = next(p)
{scan forward}
return p.
Code Fragment 10.12: Algorthm to search a skip list S for key k.
As it turns out, the expected running time of algorithm SkipSearch on a skip list
with n entries is O(log n). We postpone the justification of this fact, however, until
after we discuss the implementation of the update methods for skip lists. Navigation
starting at the position identified by SkipSearch(k) can be easily used to provide the
additional forms of searches in the sorted map ADT (e.g., find gt, find range).
Insertion in a Skip List
The execution of the map operation M[k] = v begins with a call to SkipSearch(k).
This gives us the position p of the bottom-level item with the largest key less than or
equal to k (note that p may hold the special item with key −∞). If key(p) = k, the
associated value is overwritten with v. Otherwise, we need to create a new tower for
item (k, v). We insert (k, v) immediately after position p within S0 . After inserting
the new item at the bottom level, we use randomization to decide the height of the
tower for the new item. We “flip” a coin, and if the flip comes up tails, then we stop
here. Else (the flip comes up heads), we backtrack to the previous (next higher)
level and insert (k, v) in this level at the appropriate position. We again flip a coin;
if it comes up heads, we go to the next higher level and repeat. Thus, we continue
to insert the new item (k, v) in lists until we finally get a flip that comes up tails.
We link together all the references to the new item (k, v) created in this process to
create its tower. A coin flip can be simulated with Python’s built-in pseudo-random
number generator from the random module by calling randrange(2), which returns
0 or 1, each with probability 1/2.
We give the insertion algorithm for a skip list S in Code Fragment 10.13 and
we illustrate it in Figure 10.12. The algorithm uses an insertAfterAbove(p, q, (k, v))
method that inserts a position storing the item (k, v) after position p (on the same
level as p) and above position q, returning the new position r (and setting internal
references so that next, prev, above, and below methods will work correctly for p,
q, and r). The expected running time of the insertion algorithm on a skip list with
n entries is O(log n), which we show in Section 10.4.2.
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441
Algorithm SkipInsert(k,v):
Input: Key k and value v
Output: Topmost position of the item inserted in the skip list
p = SkipSearch(k)
q = None
{q will represent top node in new item’s tower}
i = −1
repeat
i = i+1
if i ≥ h then
h = h+1
{add a new level to the skip list}
t = next(s)
s = insertAfterAbove(None, s, (−∞, None))
{grow leftmost tower}
insertAfterAbove(s, t, (+∞, None))
{grow rightmost tower}
while above(p) is None do
p = prev(p)
{scan backward}
{jump up to higher level}
p = above(p)
q = insertAfterAbove(p, q, (k, v)) {increase height of new item’s tower}
until coinFlip() == tails
n = n+1
return q
Code Fragment 10.13: Insertion in a skip list. Method coinFlip() returns “heads” or
“tails”, each with probability 1/2. Instance variables n, h, and s hold the number
of entries, the height, and the start node of the skip list.
S5
-∞
S4
-∞
17
S3
-∞
17
25
S2
-∞
17
25
31
S1
-∞
12
17
25
31
38
S0
-∞
12
17
25
31
38
+∞
+∞
20
39
42
55
+∞
42
55
+∞
55
+∞
55
+∞
42
44
42
44
50
Figure 10.12: Insertion of an entry with key 42 into the skip list of Figure 10.10. We
assume that the random “coin flips” for the new entry came up heads three times in a
row, followed by tails. The positions visited are highlighted. The positions inserted
to hold the new entry are drawn with thick lines, and the positions preceding them
are flagged.
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442
Removal in a Skip List
Like the search and insertion algorithms, the removal algorithm for a skip list is
quite simple. In fact, it is even easier than the insertion algorithm. That is, to perform the map operation del M[k] we begin by executing method SkipSearch(k).
If the position p stores an entry with key different from k, we raise a KeyError.
Otherwise, we remove p and all the positions above p, which are easily accessed
by using above operations to climb up the tower of this entry in S starting at position p. While removing levels of the tower, we reestablish links between the horizontal neighbors of each removed position. The removal algorithm is illustrated
in Figure 10.13 and a detailed description of it is left as an exercise (R-10.24). As
we show in the next subsection, deletion operation in a skip list with n entries has
O(log n) expected running time.
Before we give this analysis, however, there are some minor improvements to
the skip-list data structure we would like to discuss. First, we do not actually need
to store references to values at the levels of the skip list above the bottom level,
because all that is needed at these levels are references to keys. In fact, we can
more efficiently represent a tower as a single object, storing the key-value pair,
and maintaining j previous references and j next references if the tower reaches
level S j . Second, for the horizontal axes, it is possible to keep the list singly linked,
storing only the next references. We can perform insertions and removals in strictly
a top-down, scan-forward fashion. We explore the details of this optimization in
Exercise C-10.44. Neither of these optimizations improve the asymptotic performance of skip lists by more than a constant factor, but these improvements can,
nevertheless, be meaningful in practice. In fact, experimental evidence suggests
that optimized skip lists are faster in practice than AVL trees and other balanced
search trees, which are discussed in Chapter 11.
S5
-∞
S4
-∞
17
S3
-∞
17
25
S2
-∞
17
25
31
S1
-∞
12
17
25
31
38
S0
-∞
12
17
25
31
38
+∞
+∞
20
39
42
55
+∞
42
55
+∞
55
+∞
55
+∞
42
44
42
44
50
Figure 10.13: Removal of the entry with key 25 from the skip list of Figure 10.12.
The positions visited after the search for the position of S0 holding the entry are
highlighted. The positions removed are drawn with dashed lines.
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10.4. Skip Lists
443
Maintaining the Topmost Level
A skip list S must maintain a reference to the start position (the topmost, left position in S) as an instance variable, and must have a policy for any insertion that
wishes to continue inserting a new entry past the top level of S. There are two
possible courses of action we can take, both of which have their merits.
One possibility is to restrict the top level, h, to be kept at some fixed value that
is a function of n, the number of entries currently in the map (from the analysis we
will see that h = max{10, 2 log n} is a reasonable choice, and picking h = 3 log n
is even safer). Implementing this choice means that we must modify the insertion
algorithm to stop inserting a new position once we reach the topmost level (unless
log n < log(n + 1), in which case we can now go at least one more level, since
the bound on the height is increasing).
The other possibility is to let an insertion continue inserting a new position as
long as heads keeps getting returned from the random number generator. This is
the approach taken by algorithm SkipInsert of Code Fragment 10.13. As we show
in the analysis of skip lists, the probability that an insertion will go to a level that is
more than O(log n) is very low, so this design choice should also work.
Either choice will still result in the expected O(log n) time to perform search,
insertion, and removal, however, which we show in the next section.
10.4.2 Probabilistic Analysis of Skip Lists As we have shown above, skip lists provide a simple implementation of a sorted
map. In terms of worst-case performance, however, skip lists are not a superior data
structure. In fact, if we do not officially prevent an insertion from continuing significantly past the current highest level, then the insertion algorithm can go into what
is almost an infinite loop (it is not actually an infinite loop, however, since the probability of having a fair coin repeatedly come up heads forever is 0). Moreover, we
cannot infinitely add positions to a list without eventually running out of memory.
In any case, if we terminate position insertion at the highest level h, then the worstcase running time for performing the getitem , setitem , and delitem
map operations in a skip list S with n entries and height h is O(n + h). This worstcase performance occurs when the tower of every entry reaches level h − 1, where
h is the height of S. However, this event has very low probability. Judging from
this worst case, we might conclude that the skip-list structure is strictly inferior to
the other map implementations discussed earlier in this chapter. But this would not
be a fair analysis, for this worst-case behavior is a gross overestimate.
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Chapter 10. Maps, Hash Tables, and Skip Lists
Bounding the Height of a Skip List
Because the insertion step involves randomization, a more accurate analysis of skip
lists involves a bit of probability. At first, this might seem like a major undertaking,
for a complete and thorough probabilistic analysis could require deep mathematics (and, indeed, there are several such deep analyses that have appeared in data
structures research literature). Fortunately, such an analysis is not necessary to understand the expected asymptotic behavior of skip lists. The informal and intuitive
probabilistic analysis we give below uses only basic concepts of probability theory.
Let us begin by determining the expected value of the height h of a skip list S
with n entries (assuming that we do not terminate insertions early). The probability
that a given entry has a tower of height i ≥ 1 is equal to the probability of getting i
consecutive heads when flipping a coin, that is, this probability is 1/2i . Hence, the
probability Pi that level i has at least one position is at most
Pi ≤
n
,
2i
for the probability that any one of n different events occurs is at most the sum of
the probabilities that each occurs.
The probability that the height h of S is larger than i is equal to the probability
that level i has at least one position, that is, it is no more than Pi . This means that h
is larger than, say, 3 log n with probability at most
P3 log n ≤
=
n
23 log n
n
1
= 2.
3
n
n
For example, if n = 1000, this probability is a one-in-a-million long shot. More
generally, given a constant c > 1, h is larger than c log n with probability at most
1/nc−1 . That is, the probability that h is smaller than c log n is at least 1 − 1/nc−1 .
Thus, with high probability, the height h of S is O(log n).
Analyzing Search Time in a Skip List
Next, consider the running time of a search in skip list S, and recall that such a
search involves two nested while loops. The inner loop performs a scan forward on
a level of S as long as the next key is no greater than the search key k, and the outer
loop drops down to the next level and repeats the scan forward iteration. Since the
height h of S is O(log n) with high probability, the number of drop-down steps is
O(log n) with high probability.
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10.4. Skip Lists
445
So we have yet to bound the number of scan-forward steps we make. Let ni be
the number of keys examined while scanning forward at level i. Observe that, after
the key at the starting position, each additional key examined in a scan-forward at
level i cannot also belong to level i + 1. If any of these keys were on the previous
level, we would have encountered them in the previous scan-forward step. Thus,
the probability that any key is counted in ni is 1/2. Therefore, the expected value of
ni is exactly equal to the expected number of times we must flip a fair coin before
it comes up heads. This expected value is 2. Hence, the expected amount of time
spent scanning forward at any level i is O(1). Since S has O(log n) levels with high
probability, a search in S takes expected time O(log n). By a similar analysis, we
can show that the expected running time of an insertion or a removal is O(log n).
Space Usage in a Skip List
Finally, let us turn to the space requirement of a skip list S with n entries. As we
observed above, the expected number of positions at level i is n/2i , which means
that the expected total number of positions in S is
h
n
h
1
∑ 2i = n ∑ 2i .
i=0
i=0
Using Proposition 3.5 on geometric summations, we have
1 h+1
h
−1
1
1
2
∑ i = 1 − 1 = 2 · 1 − 2h+1 < 2 for all h ≥ 0.
i=0 2
2
Hence, the expected space requirement of S is O(n).
Table 10.4 summarizes the performance of a sorted map realized by a skip list.
Operation
len(M)
k in M
M[k] = v
del M[k]
M.find min( ), M.find max( )
M.find lt(k), M.find gt(k)
M.find le(k), M.find ge(k)
M.find range(start, stop)
iter(M), reversed(M)
Running Time
O(1)
O(log n) expected
O(log n) expected
O(log n) expected
O(1)
O(log n) expected
O(s + log n) expected, with s items reported
O(n)
Table 10.4: Performance of a sorted map implemented with a skip list. We use n to
denote the number of entries in the dictionary at the time the operation is performed.
The expected space requirement is O(n).
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10.5
Sets, Multisets, and Multimaps
We conclude this chapter by examining several additional abstractions that are
closely related to the map ADT, and that can be implemented using data structures
similar to those for a map.
• A set is an unordered collection of elements, without duplicates, that typically supports efficient membership tests. In essence, elements of a set are
like keys of a map, but without any auxiliary values.
• A multiset (also known as a bag) is a set-like container that allows duplicates.
• A multimap is similar to a traditional map, in that it associates values with
keys; however, in a multimap the same key can be mapped to multiple values. For example, the index of this book maps a given term to one or more
locations at which the term occurs elsewhere in the book.
10.5.1 The Set ADT
Python provides support for representing the mathematical notion of a set through
the built-in classes frozenset and set, as originally discussed in Chapter 1, with
frozenset being an immutable form. Both of those classes are implemented using
hash tables in Python.
Python’s collections module defines abstract base classes that essentially mirror
these built-in classes. Although the choice of names is counterintuitive, the abstract
base class collections.Set matches the concrete frozenset class, while the abstract
base class collections.MutableSet is akin to the concrete set class.
In our own discussion, we equate the “set ADT” with the behavior of the builtin set class (and thus, the collections.MutableSet base class). We begin by listing
what we consider to be the five most fundamental behaviors for a set S:
S.add(e): Add element e to the set. This has no effect if the set
already contains e.
S.discard(e): Remove element e from the set, if present. This has no
effect if the set does not contain e.
e in S: Return True if the set contains element e. In Python, this
is implemented with the special contains method.
len(S): Return the number of elements in set S. In Python, this
is implemented with the special method len .
iter(S): Generate an iteration of all elements of the set. In Python,
this is implemented with the special method iter .
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In the next section, we will see that the above five methods suffice for deriving
all other behaviors of a set. Those remaining behaviors can be naturally grouped as
follows. We begin by describing the following additional operations for removing
one or more elements from a set:
S.remove(e): Remove element e from the set. If the set does not contain e,
raise a KeyError.
S.pop( ): Remove and return an arbitrary element from the set. If the
set is empty, raise a KeyError.
S.clear( ): Remove all elements from the set.
The next group of behaviors perform Boolean comparisons between two sets.
S == T: Return True if sets S and T have identical contents.
S != T: Return True if sets S and T are not equivalent.
S <= T: Return True if set S is a subset of set T.
S < T: Return True if set S is a proper subset of set T.
S >= T: Return True if set S is a superset of set T.
S > T: Return True if set S is a proper superset of set T.
S.isdisjoint(T): Return True if sets S and T have no common elements.
Finally, there exists a variety of behaviors that either update an existing set, or
compute a new set instance, based on classical set theory operations.
S | T: Return a new set representing the union of sets S and T.
S |= T: Update set S to be the union of S and set T.
S & T: Return a new set representing the intersection of sets S and T.
S &= T: Update set S to be the intersection of S and set T.
S ˆ T: Return a new set representing the symmetric difference of sets
S and T, that is, a set of elements that are in precisely one of
S or T.
S ˆ= T: Update set S to become the symmetric difference of itself and
set T.
S − T: Return a new set containing elements in S but not T.
S −= T: Update set S to remove all common elements with set T.
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10.5.2 Python’s MutableSet Abstract Base Class
To aid in the creation of user-defined set classes, Python’s collections module provides a MutableSet abstract base class (just as it provides the MutableMapping abstract base class discussed in Section 10.1.3). The MutableSet base class provides
concrete implementations for all methods described in Section 10.5.1, except for
five core behaviors (add, discard, contains , len , and iter ) that must
be implemented by any concrete subclass. This design is an example of what is
known as the template method pattern, as the concrete methods of the MutableSet
class rely on the presumed abstract methods that will subsequently be provided by
a subclass.
For the purpose of illustration, we examine algorithms for implementing several
of the derived methods of the MutableSet base class. For example, to determine if
one set is a proper subset of another, we must verify two conditions: a proper subset
must have size strictly smaller than that of its superset, and each element of a subset
must be contained in the superset. An implementation of the corresponding lt
method based on this logic is given in Code Fragment 10.14.
# supports syntax S < T
def lt (self, other):
”””Return true if this set is a proper subset of other.”””
if len(self) >= len(other):
return False
# proper subset must have strictly smaller size
for e in self:
if e not in other:
return False
# not a subset since element missing from other
return True
# success; all conditions are met
Code Fragment 10.14: A possible implementation of the MutableSet.
lt
method, which tests if one set is a proper subset of another.
As another example, we consider the computation of the union of two sets.
The set ADT includes two forms for computing a union. The syntax S | T should
produce a new set that has contents equal to the union of existing sets S and T . This
operation is implemented through the special method or in Python. Another
syntax, S |= T is used to update existing set S to become the union of itself and
set T . Therefore, all elements of T that are not already contained in S should
be added to S. We note that this “in-place” operation may be implemented more
efficiently than if we were to rely on the first form, using the syntax S = S | T, in
which identifier S is reassigned to a new set instance that represents the union. For
convenience, Python’s built-in set class supports named version of these behaviors,
with S.union(T) equivalent to S | T, and S.update(T) equivalent to S |= T (yet,
those named versions are not formally provided by the MutableSet abstract base
class).
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# supports syntax S | T
def or (self, other):
”””Return a new set that is the union of two existing sets.”””
result = type(self)( )
# create new instance of concrete class
for e in self:
result.add(e)
for e in other:
result.add(e)
return result
Code Fragment 10.15: An implementation of the MutableSet.
or
method,
which computes the union of two existing sets.
An implementation of the behavior that computes a new set as a union of two
others is given in the form of the or special method, in Code Fragment 10.15.
An important subtlety in this implementation is the instantiation of the resulting
set. Since the MutableSet class is designed as an abstract base class, instances
must belong to a concrete subclass. When computing the union of two such concrete instances, the result should presumably be an instance of the same class as the
operands. The function type(self) returns a reference to the actual class of the instance identified as self, and the subsequent parentheses in expression type(self)( )
call the default constructor for that class.
In terms of efficiency, we analyze such set operations while letting n denote
the size of S and m denote the size of set T for an operation such as S | T. If
the concrete sets are implemented with hashing, the expected running time of the
implementation in Code Fragment 10.15 is O(m + n), because it loops over both
sets, performing constant-time operations in the form of a containment check and
a possible insertion into the result.
Our implementation of the in-place version of a union is given in Code Fragment 10.16, in the form of the ior special method that supports syntax S |= T.
Notice that in this case, we do not create a new set instance, instead we modify and
return the existing set, after updating its contents to reflect the union operation. The
in-place version of the union has expected running time O(m) where m is the size
of the second set, because we only have to loop through that second set.
# supports syntax S |= T
def ior (self, other):
”””Modify this set to be the union of itself an another set.”””
for e in other:
self.add(e)
return self
# technical requirement of in-place operator
Code Fragment 10.16: An implementation of the MutableSet.
which performs an in-place union of one set with another.
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10.5.3 Implementing Sets, Multisets, and Multimaps
Sets
Although sets and maps have very different public interfaces, they are really quite
similar. A set is simply a map in which keys do not have associated values. Any
data structure used to implement a map can be modified to implement the set ADT
with similar performance guarantees. We could trivially adapt any map class by
storing set elements as keys, and using None as an irrelevant value, but such an
implementation is unnecessarily wasteful. An efficient set implementation should
abandon the Item composite that we use in our MapBase class and instead store
set elements directly in a data structure.
Multisets
The same element may occur several times in a multiset. All of the data structures
we have seen can be reimplemented to allow for duplicates to appear as separate
elements. However, another way to implement a multiset is by using a map in
which the map key is a (distinct) element of the multiset, and the associated value
is a count of the number of occurrences of that element within the multiset. In fact,
that is essentially what we did in Section 10.1.2 when computing the frequency of
words within a document.
Python’s standard collections module includes a definition for a class named
Counter that is in essence a multiset. Formally, the Counter class is a subclass of
dict, with the expectation that values are integers, and with additional functionality
like a most common(n) method that returns a list of the n most common elements.
The standard iter reports each element only once (since those are formally the
keys of the dictionary). There is another method named elements( ) that iterates
through the multiset with each element being repeated according to its count.
Multimaps
Although there is no multimap in Python’s standard libraries, a common implementation approach is to use a standard map in which the value associated with a
key is itself a container class storing any number of associated values. We give an
example of such a MultiMap class in Code Fragment 10.17. Our implementation
uses the standard dict class as the map, and a list of values as a composite value in
the dictionary. We have designed the class so that a different map implementation
can easily be substituted by overriding the class-level MapType attribute at line 3.
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1 class MultiMap:
2
”””A multimap class built upon use of an underlying map for storage.”””
MapType = dict
# Map type; can be redefined by subclass
3
4
5
def init (self):
6
”””Create a new empty multimap instance.”””
# create map instance for storage
7
self. map = self. MapType( )
8
self. n = 0
9
10
def iter (self):
11
”””Iterate through all (k,v) pairs in multimap.”””
12
for k,secondary in self. map.items( ):
13
for v in secondary:
14
yield (k,v)
15
16
def add(self, k, v):
17
”””Add pair (k,v) to multimap.”””
# create empty list, if needed
18
container = self. map.setdefault(k, [ ])
19
container.append(v)
20
self. n += 1
21
22
def pop(self, k):
23
”””Remove and return arbitrary (k,v) with key k (or raise KeyError).”””
# may raise KeyError
24
secondary = self. map[k]
25
v = secondary.pop( )
26
if len(secondary) == 0:
# no pairs left
27
del self. map[k]
28
self. n −= 1
29
return (k, v)
30
31
def find(self, k):
32
”””Return arbitrary (k,v) pair with given key (or raise KeyError).”””
# may raise KeyError
33
secondary = self. map[k]
34
return (k, secondary[0])
35
36
def find all(self, k):
37
”””Generate iteration of all (k,v) pairs with given key.”””
# empty list, by default
38
secondary = self. map.get(k, [ ])
39
for v in secondary:
40
yield (k,v)
Code Fragment 10.17: An implementation of a MultiMap using a dict for storage.
The
len
method, which returns self. n, is omitted from this listing.
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10.6
Exercises
For help with exercises, please visit the site, www.wiley.com/college/goodrich.
Reinforcement
R-10.1 Give a concrete implementation of the pop method in the context of the
MutableMapping class, relying only on the five primary abstract methods
of that class.
R-10.2 Give a concrete implementation of the items( ) method in the context of
the MutableMapping class, relying only on the five primary abstract methods of that class. What would its running time be if directly applied to the
UnsortedTableMap subclass?
R-10.3 Give a concrete implementation of the items( ) method directly within the
UnsortedTableMap class, ensuring that the entire iteration runs in O(n)
time.
R-10.4 What is the worst-case running time for inserting n key-value pairs into an
initially empty map M that is implemented with the UnsortedTableMap
class?
R-10.5 Reimplement the UnsortedTableMap class from Section 10.1.5, using the
PositionalList class from Section 7.4 rather than a Python list.
R-10.6 Which of the hash table collision-handling schemes could tolerate a load
factor above 1 and which could not?
R-10.7 Our Position classes for lists and trees support the eq method so that
two distinct position instances are considered equivalent if they refer to the
same underlying node in a structure. For positions to be allowed as keys
in a hash table, there must be a definition for the hash method that
is consistent with this notion of equivalence. Provide such a hash
method.
R-10.8 What would be a good hash code for a vehicle identification number that
is a string of numbers and letters of the form “9X9XX99X9XX999999,”
where a “9” represents a digit and an “X” represents a letter?
R-10.9 Draw the 11-entry hash table that results from using the hash function,
h(i) = (3i + 5) mod 11, to hash the keys 12, 44, 13, 88, 23, 94, 11, 39, 20,
16, and 5, assuming collisions are handled by chaining.
R-10.10 What is the result of the previous exercise, assuming collisions are handled by linear probing?
R-10.11 Show the result of Exercise R-10.9, assuming collisions are handled by
quadratic probing, up to the point where the method fails.
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R-10.12 What is the result of Exercise R-10.9 when collisions are handled by double hashing using the secondary hash function h (k) = 7 − (k mod 7)?
R-10.13 What is the worst-case time for putting n entries in an initially empty hash
table, with collisions resolved by chaining? What is the best case?
R-10.14 Show the result of rehashing the hash table shown in Figure 10.6 into a
table of size 19 using the new hash function h(k) = 3k mod 17.
R-10.15 Our HashMapBase class maintains a load factor λ ≤ 0.5. Reimplement
that class to allow the user to specify the maximum load, and adjust the
concrete subclasses accordingly.
R-10.16 Give a pseudo-code description of an insertion into a hash table that uses
quadratic probing to resolve collisions, assuming we also use the trick of
replacing deleted entries with a special “deactivated entry” object.
R-10.17 Modify our ProbeHashMap to use quadratic probing.
R-10.18 Explain why a hash table is not suited to implement a sorted map.
R-10.19 Describe how a sorted list implemented as a doubly linked list could be
used to implement the sorted map ADT.
R-10.20 What is the worst-case asymptotic running time for performing n deletions
from a SortedTableMap instance that initially contains 2n entries?
R-10.21 Consider the following variant of the find index method from Code Fragment 10.8, in the context of the SortedTableMap class:
def find index(self, k, low, high):
if high < low:
return high + 1
else:
mid = (low + high) // 2
if self. table[mid]. key < k:
return self. find index(k, mid + 1, high)
else:
return self. find index(k, low, mid − 1)
Does this always produce the same result as the original version? Justify
your answer.
R-10.22 What is the expected running time of the methods for maintaining a maxima set if we insert n pairs such that each pair has lower cost and performance than one before it? What is contained in the sorted map at the end
of this series of operations? What if each pair had a lower cost and higher
performance than the one before it?
R-10.23 Draw an example skip list S that results from performing the following
series of operations on the skip list shown in Figure 10.13: del S[38],
S[48] = x , S[24] = y , del S[55]. Record your coin flips, as well.
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R-10.24 Give a pseudo-code description of the
using a skip list.
delitem
map operation when
R-10.25 Give a concrete implementation of the pop method, in the context of a
MutableSet abstract base class, that relies only on the five core set behaviors described in Section 10.5.2.
R-10.26 Give a concrete implementation of the isdisjoint method in the context
of the MutableSet abstract base class, relying only on the five primary
abstract methods of that class. Your algorithm should run in O(min(n, m))
where n and m denote the respective cardinalities of the two sets.
R-10.27 What abstraction would you use to manage a database of friends’ birthdays in order to support efficient queries such as “find all friends whose
birthday is today” and “find the friend who will be the next to celebrate a
birthday”?
Creativity
C-10.28 On page 406 of Section 10.1.3, we give an implementation of the method
setdefault as it might appear in the MutableMapping abstract base class.
While that method accomplishes the goal in a general fashion, its efficiency is less than ideal. In particular, when the key is new, there will be
a failed search due to the initial use of getitem , and then a subsequent insertion via setitem . For a concrete implementation, such as
the UnsortedTableMap, this is twice the work because a complete scan
of the table will take place during the failed getitem , and then another complete scan of the table takes place due to the implementation of
setitem . A better solution is for the UnsortedTableMap class to override setdefault to provide a direct solution that performs a single search.
Give such an implementation of UnsortedTableMap.setdefault.
C-10.29 Repeat Exercise C-10.28 for the ProbeHashMap class.
C-10.30 Repeat Exercise C-10.28 for the ChainHashMap class.
C-10.31 For an ideal compression function, the capacity of the bucket array for a
hash table should be a prime number. Therefore, we consider the problem
of locating a prime number in a range [M, 2M]. Implement a method for
finding such a prime by using the sieve algorithm. In this algorithm, we
allocate a 2M cell Boolean array A, such that cell i is associated with the
integer i. We then initialize the array cells to all be “true” and we “mark
off” all the cells that are multiples of 2, 3, 5, √
7, and so on. This process
can stop after it reaches a number larger than 2M.
√ (Hint: Consider a
bootstrapping method for finding the primes up to 2M.)
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C-10.32 Perform experiments on our ChainHashMap and ProbeHashMap classes
to measure its efficiency using random key sets and varying limits on the
load factor (see Exercise R-10.15).
C-10.33 Our implementation of separate chaining in ChainHashMap conserves
memory by representing empty buckets in the table as None, rather than
as empty instances of a secondary structure. Because many of these buckets will hold a single item, a better optimization is to have those slots of
the table directly reference the Item instance, and to reserve use of secondary containers for buckets that have two or more items. Modify our
implementation to provide this additional optimization.
C-10.34 Computing a hash code can be expensive, especially for lengthy keys. In
our hash table implementations, we compute the hash code when first inserting an item, and recompute each item’s hash code each time we resize
our table. Python’s dict class makes an interesting trade-off. The hash
code is computed once, when an item is inserted, and the hash code is
stored as an extra field of the item composite, so that it need not be recomputed. Reimplement our HashTableBase class to use such an approach.
C-10.35 Describe how to perform a removal from a hash table that uses linear
probing to resolve collisions where we do not use a special marker to
represent deleted elements. That is, we must rearrange the contents so that
it appears that the removed entry was never inserted in the first place.
C-10.36 The quadratic probing strategy has a clustering problem related to the way
it looks for open slots. Namely, when a collision occurs at bucket h(k), it
checks buckets A[(h(k) + i2 ) mod N], for i = 1, 2, . . . , N − 1.
a. Show that i2 mod N will assume at most (N + 1)/2 distinct values,
for N prime, as i ranges from 1 to N − 1. As a part of this justification, note that i2 mod N = (N − i)2 mod N for all i.
b. A better strategy is to choose a prime N such that N mod 4 = 3 and
then to check the buckets A[(h(k) ± i2 ) mod N] as i ranges from 1
to (N − 1)/2, alternating between plus and minus. Show that this
alternate version is guaranteed to check every bucket in A.
C-10.37 Refactor our ProbeHashMap design so that the sequence of secondary
probes for collision resolution can be more easily customized. Demonstrate your new framework by providing separate concrete subclasses for
linear probing and quadratic probing.
C-10.38 Design a variation of binary search for performing the multimap operation find all(k) implemented with a sorted search table that includes duplicates, and show that it runs in time O(s + log n), where n is the number
of elements in the dictionary and s is the number of items with given key k.
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C-10.39 Although keys in a map are distinct, the binary search algorithm can be
applied in a more general setting in which an array stores possibly duplicative elements in nondecreasing order. Consider the goal of identifying the
index of the leftmost element with key greater than or equal to given k.
Does the find index method as given in Code Fragment 10.8 guarantee
such a result? Does the find index method as given in Exercise R-10.21
guarantee such a result? Justify your answers.
C-10.40 Suppose we are given two sorted search tables S and T , each with n entries
(with S and T being implemented with arrays). Describe an O(log2 n)time algorithm for finding the kth smallest key in the union of the keys
from S and T (assuming no duplicates).
C-10.41 Give an O(log n)-time solution for the previous problem.
C-10.42 Suppose that each row of an n × n array A consists of 1’s and 0’s such that,
in any row of A, all the 1’s come before any 0’s in that row. Assuming A
is already in memory, describe a method running in O(n log n) time (not
O(n2 ) time!) for counting the number of 1’s in A.
C-10.43 Given a collection C of n cost-performance pairs (c, p), describe an algorithm for finding the maxima pairs of C in O(n log n) time.
C-10.44 Show that the methods above(p) and prev(p) are not actually needed to
efficiently implement a map using a skip list. That is, we can implement insertions and deletions in a skip list using a strictly top-down, scanforward approach, without ever using the above or prev methods. (Hint:
In the insertion algorithm, first repeatedly flip the coin to determine the
level where you should start inserting the new entry.)
C-10.45 Describe how to modify a skip-list representation so that index-based
operations, such as retrieving the item at index j, can be performed in
O(log n) expected time.
C-10.46 For sets S and T , the syntax S ˆ T returns a new set that is the symmetric difference, that is, a set of elements that are in precisely one of S or
T . This syntax is supported by the special xor method. Provide an
implementation of that method in the context of the MutableSet abstract
base class, relying only on the five primary abstract methods of that class.
C-10.47 In the context of the MutableSet abstract base class, describe a concrete
implementation of the and method, which supports the syntax S & T
for computing the intersection of two existing sets.
C-10.48 An inverted file is a critical data structure for implementing a search engine or the index of a book. Given a document D, which can be viewed
as an unordered, numbered list of words, an inverted file is an ordered list
of words, L, such that, for each word w in L, we store the indices of the
places in D where w appears. Design an efficient algorithm for constructing L from D.
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C-10.49 Python’s collections module provides an OrderedDict class that is unrelated to our sorted map abstraction. An OrderedDict is a subclass of the
standard hash-based dict class that retains the expected O(1) performance
for the primary map operations, but that also guarantees that the iter
method reports items of the map according to first-in, first-out (FIFO)
order. That is, the key that has been in the dictionary the longest is reported first. (The order is unaffected when the value for an existing key
is overwritten.) Describe an algorithmic approach for achieving such performance.
Projects
P-10.50 Perform a comparative analysis that studies the collision rates for various
hash codes for character strings, such as various polynomial hash codes
for different values of the parameter a. Use a hash table to determine
collisions, but only count collisions where different strings map to the
same hash code (not if they map to the same location in this hash table).
Test these hash codes on text files found on the Internet.
P-10.51 Perform a comparative analysis as in the previous exercise, but for 10-digit
telephone numbers instead of character strings.
P-10.52 Implement an OrderedDict class, as described in Exercise C-10.49, ensuring that the primary map operations run in O(1) expected time.
P-10.53 Design a Python class that implements the skip-list data structure. Use
this class to create a complete implementation of the sorted map ADT.
P-10.54 Extend the previous project by providing a graphical animation of the
skip-list operations. Visualize how entries move up the skip list during
insertions and are linked out of the skip list during removals. Also, in a
search operation, visualize the scan-forward and drop-down actions.
P-10.55 Write a spell-checker class that stores a lexicon of words, W , in a Python
set, and implements a method, check(s), which performs a spell check
on the string s with respect to the set of words, W . If s is in W , then
the call to check(s) returns a list containing only s, as it is assumed to
be spelled correctly in this case. If s is not in W , then the call to check(s)
returns a list of every word in W that might be a correct spelling of s. Your
program should be able to handle all the common ways that s might be a
misspelling of a word in W , including swapping adjacent characters in a
word, inserting a single character in between two adjacent characters in a
word, deleting a single character from a word, and replacing a character in
a word with another character. For an extra challenge, consider phonetic
substitutions as well.
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Chapter Notes
Hashing is a well-studied technique. The reader interested in further study is encouraged
to explore the book by Knuth [65], as well as the book by Vitter and Chen [100]. Skip
lists were introduced by Pugh [86]. Our analysis of skip lists is a simplification of a presentation given by Motwani and Raghavan [80]. For a more in-depth analysis of skip lists,
please see the various research papers on skip lists that have appeared in the data structures
literature [59, 81, 84]. Exercise C-10.36 was contributed by James Lee.
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Chapter
11
Search Trees
Contents
11.1 Binary Search Trees . . . . . . . . . . . . . . . . . . . . . .
11.1.1 Navigating a Binary Search Tree . . . . . . . . . . . . . .
11.1.2 Searches . . . . . . . . . . . . . . . . . . . . . . . . . . .
11.1.3 Insertions and Deletions . . . . . . . . . . . . . . . . . . .
11.1.4 Python Implementation . . . . . . . . . . . . . . . . . . .
11.1.5 Performance of a Binary Search Tree . . . . . . . . . . . .
11.2 Balanced Search Trees . . . . . . . . . . . . . . . . . . . .
11.2.1 Python Framework for Balancing Search Trees . . . . . . .
11.3 AVL Trees . . . . . . . . . . . . . . . . . . . . . . . . . . .
11.3.1 Update Operations . . . . . . . . . . . . . . . . . . . . .
11.3.2 Python Implementation . . . . . . . . . . . . . . . . . . .
11.4 Splay Trees . . . . . . . . . . . . . . . . . . . . . . . . . . .
11.4.1 Splaying . . . . . . . . . . . . . . . . . . . . . . . . . . .
11.4.2 When to Splay . . . . . . . . . . . . . . . . . . . . . . . .
11.4.3 Python Implementation . . . . . . . . . . . . . . . . . . .
11.4.4 Amortized Analysis of Splaying
. . . . . . . . . . . . .
11.5 (2,4) Trees . . . . . . . . . . . . . . . . . . . . . . . . . . .
11.5.1 Multiway Search Trees . . . . . . . . . . . . . . . . . . .
11.5.2 (2,4)-Tree Operations . . . . . . . . . . . . . . . . . . . .
11.6 Red-Black Trees . . . . . . . . . . . . . . . . . . . . . . . .
11.6.1 Red-Black Tree Operations . . . . . . . . . . . . . . . . .
11.6.2 Python Implementation . . . . . . . . . . . . . . . . . . .
11.7 Exercises . . . . . . . . . . . . . . . . . . . . . . . . . . . .
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11.1
Binary Search Trees
In Chapter 8 we introduced the tree data structure and demonstrated a variety of
applications. One important use is as a search tree (as described on page 332). In
this chapter, we use a search tree structure to efficiently implement a sorted map.
The three most fundamental methods of a map M (see Section 10.1.1) are:
M[k]: Return the value v associated with key k in map M, if one exists;
otherwise raise a KeyError; implemented with getitem method.
M[k] = v: Associate value v with key k in map M, replacing the existing value
if the map already contains an item with key equal to k; implemented
with setitem method.
del M[k]: Remove from map M the item with key equal to k; if M has no such
item, then raise a KeyError; implemented with delitem method.
The sorted map ADT includes additional functionality (see Section 10.3), guaranteeing that an iteration reports keys in sorted order, and supporting additional
searches such as find gt(k) and find range(start, stop).
Binary trees are an excellent data structure for storing items of a map, assuming
we have an order relation defined on the keys. In this context, a binary search tree
is a binary tree T with each position p storing a key-value pair (k, v) such that:
• Keys stored in the left subtree of p are less than k.
• Keys stored in the right subtree of p are greater than k.
An example of such a binary search tree is given in Figure 11.1. As a matter of
convenience, we will not diagram the values associated with keys in this chapter,
since those values do not affect the placement of items within a search tree.
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Figure 11.1: A binary search tree with integer keys. We omit the display of associ-
ated values in this chapter, since they are not relevant to the order of items within a
search tree.
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11.1.1 Navigating a Binary Search Tree
We begin by demonstrating that a binary search tree hierarchically represents the
sorted order of its keys. In particular, the structural property regarding the placement of keys within a binary search tree assures the following important consequence regarding an inorder traversal (Section 8.4.3) of the tree.
Proposition 11.1: An inorder traversal of a binary search tree visits positions in
increasing order of their keys.
Justification: We prove this by induction on the size of a subtree. If a subtree
has at most one item, its keys are trivially visited in order. More generally, an
inorder traversal of a (sub)tree consists of a recursive traversal of the (possibly
empty) left subtree, followed by a visit of the root, and then a recursive traversal of
the (possibly empty) right subtree. By induction, a recursive inorder traversal of the
left subtree will produce an iteration of the keys in that subtree in increasing order.
Furthermore, by the binary search tree property, all keys in the left subtree have
keys strictly smaller than that of the root. Therefore, visiting the root just after that
subtree extends the increasing order of keys. Finally, by the search tree property,
all keys in the right subtree are strictly greater than the root, and by induction, an
inorder traversal of that subtree will visit those keys in increasing order.
Since an inorder traversal can be executed in linear time, a consequence of this
proposition is that we can produce a sorted iteration of the keys of a map in linear
time, when represented as a binary search tree.
Although an inorder traversal is typically expressed using a top-down recursion, we can provide nonrecursive descriptions of operations that allow more finegrained navigation among the positions of a binary search relative to the order of
their keys. Our generic binary tree ADT from Chapter 8 is defined as a positional
structure, allowing direct navigation using methods such as parent(p), left(p), and
right(p). With a binary search tree, we can provide additional navigation based on
the natural order of the keys stored in the tree. In particular, we can support the
following methods, akin to those provided by a PositionalList (Section 7.4.1).
first( ): Return the position containing the least key, or None if the tree is empty.
last( ): Return the position containing the greatest key, or None if empty tree.
before(p): Return the position containing the greatest key that is less than that of
position p (i.e., the position that would be visited immediately before p
in an inorder traversal), or None if p is the first position.
after(p): Return the position containing the least key that is greater than that of
position p (i.e., the position that would be visited immediately after p
in an inorder traversal), or None if p is the last position.
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Chapter 11. Search Trees
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The “first” position of a binary search tree can be located by starting a walk at
the root and continuing to the left child, as long as a left child exists. By symmetry,
the last position is reached by repeated steps rightward starting at the root.
The successor of a position, after(p), is determined by the following algorithm.
Algorithm after(p):
if right(p) is not None then {successor is leftmost position in p’s right subtree}
walk = right(p)
while left(walk) is not None do
walk = left(walk)
return walk
else {successor is nearest ancestor having p in its left subtree}
walk = p
ancestor = parent(walk)
while ancestor is not None and walk == right(ancestor) do
walk = ancestor
ancestor = parent(walk)
return ancestor
Code Fragment 11.1: Computing the successor of a position in a binary search tree.
The rationale for this process is based purely on the workings of an inorder
traversal, given the correspondence of Proposition 11.1. If p has a right subtree,
that right subtree is recursively traversed immediately after p is visited, and so the
first position to be visited after p is the leftmost position within the right subtree.
If p does not have a right subtree, then the flow of control of an inorder traversal
returns to p’s parent. If p were in the right subtree of that parent, then the parent’s
subtree traversal is complete and the flow of control progresses to its parent and
so on. Once an ancestor is reached in which the recursion is returning from its
left subtree, then that ancestor becomes the next position visited by the inorder
traversal, and thus is the successor of p. Notice that the only case in which no such
ancestor is found is when p was the rightmost (last) position of the full tree, in
which case there is no successor.
A symmetric algorithm can be defined to determine the predecessor of a position, before(p). At this point, we note that the running time of single call to
after(p) or before(p) is bounded by the height h of the full tree, because it is found
after either a single downward walk or a single upward walk. While the worst-case
running time is O(h), we note that either of these methods run in O(1) amortized
time, in that series of n calls to after(p) starting at the first position will execute in a
total of O(n) time. We leave a formal justification of this fact to Exercise C-11.34,
but intuitively the upward and downward paths mimic steps of the inorder traversal
(a related argument was made in the justification of Proposition 9.3).
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11.1.2 Searches
The most important consequence of the structural property of a binary search tree
is its namesake search algorithm. We can attempt to locate a particular key in a
binary search tree by viewing it as a decision tree (recall Figure 8.7). In this case,
the question asked at each position p is whether the desired key k is less than, equal
to, or greater than the key stored at position p, which we denote as p.key( ). If the
answer is “less than,” then the search continues in the left subtree. If the answer
is “equal,” then the search terminates successfully. If the answer is “greater than,”
then the search continues in the right subtree. Finally, if we reach an empty subtree,
then the search terminates unsuccessfully. (See Figure 11.2.)
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Figure 11.2: (a) A successful search for key 65 in a binary search tree; (b) an
unsuccessful search for key 68 that terminates because there is no subtree to the
left of the key 76.
We describe this approach in Code Fragment 11.2. If key k occurs in a subtree
rooted at p, a call to TreeSearch(T, p, k) results in the position at which the key
is found; in this case, the getitem map operation would return the associated
value at that position. In the event of an unsuccessful search, the TreeSearch algorithm returns the final position explored on the search path (which we will later
make use of when determining where to insert a new item in a search tree).
Algorithm TreeSearch(T, p, k):
if k == p.key() then
return p
{successful search}
else if k < p.key() and T.left(p) is not None then
return TreeSearch(T, T.left(p), k)
{recur on left subtree}
else if k > p.key() and T.right(p) is not None then
return TreeSearch(T, T.right(p), k)
{recur on right subtree}
return p
{unsuccessful search}
Code Fragment 11.2: Recursive search in a binary search tree.
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Analysis of Binary Tree Searching
The analysis of the worst-case running time of searching in a binary search tree
T is simple. Algorithm TreeSearch is recursive and executes a constant number
of primitive operations for each recursive call. Each recursive call of TreeSearch
is made on a child of the previous position. That is, TreeSearch is called on the
positions of a path of T that starts at the root and goes down one level at a time.
Thus, the number of such positions is bounded by h + 1, where h is the height of T .
In other words, since we spend O(1) time per position encountered in the search,
the overall search runs in O(h) time, where h is the height of the binary search
tree T . (See Figure 11.3.)
Time per level
O(1)
Height
Tree T:
O(1)
h
O(1)
Total time: O(h)
Figure 11.3: Illustrating the running time of searching in a binary search tree. The
figure uses standard caricature of a binary search tree as a big triangle and a path
from the root as a zig-zag line.
In the context of the sorted map ADT, the search will be used as a subroutine
for implementing the getitem method, as well as for the setitem and
delitem methods, since each of these begins by trying to locate an existing
item with a given key. To implement sorted map operations such as find lt and
find gt, we will combine this search with traversal methods before and after. All
of these operations will run in worst-case O(h) time for a tree with height h. We
can use a variation of this technique to implement the find range method in time
O(s + h), where s is the number of items reported (see Exercise C-11.34).
Admittedly, the height h of T can be as large as the number of entries, n, but we
expect that it is usually much smaller. Indeed, later in this chapter we show various
strategies to maintain an upper bound of O(log n) on the height of a search tree T .
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11.1.3 Insertions and Deletions
Algorithms for inserting or deleting entries of a binary search tree are fairly straightforward, although not trivial.
Insertion
The map command M[k] = v, as supported by the setitem method, begins
with a search for key k (assuming the map is nonempty). If found, that item’s
existing value is reassigned. Otherwise, a node for the new item can be inserted
into the underlying tree T in place of the empty subtree that was reached at the end
of the failed search. The binary search tree property is sustained by that placement
(note that it is placed exactly where a search would expect it). Pseudo-code for
such a TreeInsert algorithm is given in in Code Fragment 11.3.
Algorithm TreeInsert(T, k, v):
Input: A search key k to be associated with value v
p = TreeSearch(T, T.root(), k)
if k == p.key() then
Set p’s value to v
else if k < p.key() then
add node with item (k,v) as left child of p
else
add node with item (k,v) as right child of p
Code Fragment 11.3: Algorithm for inserting a key-value pair into a map that is
represented as a binary search tree.
An example of insertion into a binary search tree is shown in Figure 11.4.
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Figure 11.4: Insertion of an item with key 68 into the search tree of Figure 11.2.
Finding the position to insert is shown in (a), and the resulting tree is shown in (b).
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Chapter 11. Search Trees
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Deletion
Deleting an item from a binary search tree T is a bit more complex than inserting
a new item because the location of the deletion might be anywhere in the tree. (In
contrast, insertions are always enacted at the bottom of a path.) To delete an item
with key k, we begin by calling TreeSearch(T, T.root( ), k) to find the position p
of T storing an item with key equal to k. If the search is successful, we distinguish
between two cases (of increasing difficulty):
• If p has at most one child, the deletion of the node at position p is easily
implemented. When introducing update methods for the LinkedBinaryTree
class in Section 8.3.1, we declared a nonpublic utility, delete(p), that deletes
a node at position p and replaces it with its child (if any), presuming that p has
at most one child. That is precisely the desired behavior. It removes the item
with key k from the map while maintaining all other ancestor-descendant
relationships in the tree, thereby assuring the upkeep of the binary search
tree property. (See Figure 11.5.)
• If position p has two children, we cannot simply remove the node from T
since this would create a “hole” and two orphaned children. Instead, we
proceed as follows (see Figure 11.6):
◦ We locate position r containing the item having the greatest key that is
strictly less than that of position p, that is, r = before(p) by the notation
of Section 11.1.1. Because p has two children, its predecessor is the
rightmost position of the left subtree of p.
◦ We use r’s item as a replacement for the one being deleted at position p.
Because r has the immediately preceding key in the map, any items in
p’s right subtree will have keys greater than r and any other items in p’s
left subtree will have keys less than r. Therefore, the binary search tree
property is satisfied after the replacement.
◦ Having used r’s as a replacement for p, we instead delete the node at
position r from the tree. Fortunately, since r was located as the rightmost position in a subtree, r does not have a right child. Therefore, its
deletion can be performed using the first (and simpler) approach.
As with searching and insertion, this algorithm for a deletion involves the
traversal of a single path downward from the root, possibly moving an item between
two positions of this path, and removing a node from that path and promoting its
child. Therefore, it executes in time O(h) where h is the height of the tree.
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Figure 11.5: Deletion from the binary search tree of Figure 11.4b, where the item
to delete (with key 32) is stored at a position p with one child r : (a) before the
deletion; (b) after the deletion.
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Figure 11.6: Deletion from the binary search tree of Figure 11.5b, where the item
to delete (with key 88) is